David Hallmark

CETERA INVESTMENT ADVISERS LLC

PULASKI, TN 38478

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CRD#: 5332955

Professional summary

David Hallmark, who also goes by David Lamar Hallmark III, David Hallmark III, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pulaski, Tennessee and CETERA WEALTH SERVICES, LLC located in Pulaski, Tennessee.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Lamar Hallmark Iii | David Hallmark Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) NAME OF OTHER BUSINESS: CB&S FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESIONAL/VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hallmark's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 317 W Madison Street, Pulaski, TN 38478

RIA

CRD#: 105644

PULASKI, TN

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 317 W Madison Street, Pulaski, TN 38478

CRD#: 13572

Pulaski, TN

Past

June 1, 2023 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Pulaski, TN

Past

May 31, 2023 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Pulaski, TN

Past

September 12, 2016 - May 31, 2023

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

PULASKI, TN

Past

March 4, 2016 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

LAWRENCEBURG, TN

Past

March 4, 2016 - May 31, 2023

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

LAWRENCEBURG, TN

Past

July 20, 2015 - March 1, 2016

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

MUSCLE SHOALS, AL

Past

July 16, 2015 - March 1, 2016

BBVA SECURITIES INC.

CRD#: 27060

MUSCLE SHOALS, AL

Past

October 10, 2014 - November 6, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

ATHENS, AL

Past

October 11, 2011 - November 6, 2014

LPL FINANCIAL LLC

CRD#: 6413

ATHENS, AL

Past

March 11, 2009 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

ELKMONT, AL

Past

May 31, 2007 - August 21, 2008

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/20/2025)

Mississippi
(4/3/2025)

Tennessee
(2/20/2025)

IAR

Tennessee
(2/20/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/6/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/30/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David Hallmark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hallmark's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2014

Series 63

Date: 6/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/17/2014

Series 6

Date: 5/30/2007

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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