DH
David Hickson
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85253
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CRD#: 5455960
DH
Professional summary
David Hickson, who also goes by Dave Hickson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA ADVISORS LLC located in Scottsdale, Arizona.
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
Dave Hickson
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2001 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: WILDE WEALTH HEALTH INSURANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE IMO START DATE: 09/2025 POSITION/TITLE/RELATIONSHIP: INSURANCE PRODUCER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SALE OF HEALTH INSURANCE; 3. NAME OF OTHER BUSINESS: ECLECTIC ADVISORS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FAMILY ESTATE PLANNING COMMISSIONS START DATE: 05/2025 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: FEES PAID OUT TO THIS ENTITY; 4. NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 09/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: REP FOR BOOK OF BUSINESS;
CRS (Client Relationship Summary) - RIA
Click below to view David Hickson's 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®
NoneExperience
Current
October 31, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7025 N Scottsdale Rd Ste 115 &110, Scottsdale, AZ 85253RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
October 31, 2025 - Present
CETERA ADVISORS LLC
Office #1: 7025 N Scottsdale Rd Ste 115 & 110, Scottsdale, AZ 85253BD
CRD#: 10299
Scottsdale, AZ
Past
December 11, 2019 - October 31, 2025
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Phoenix, AZ
Past
December 9, 2019 - October 31, 2025
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Phoenix, AZ
Past
March 25, 2017 - December 16, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SCOTTSDALE, AZ
Past
March 25, 2017 - December 16, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
Past
August 29, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
PHOENIX, AZ
Past
July 8, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DENVER, CO
Past
September 17, 2010 - July 6, 2011
PEAK AMERICAN INVESTMENT ADVISORS, INC.
RIA
CRD#: 145056
GLENDALE, AZ
Past
July 27, 2010 - July 6, 2011
PURITAN BROKERAGE SERVICES, INC.
BD
CRD#: 144445
PLANO, TX
Past
March 10, 2009 - August 20, 2009
SII INVESTMENTS, INC.
RIA
CRD#: 2225
SCOTTSDALE, AZ
Past
February 27, 2009 - August 20, 2009
SII INVESTMENTS, INC.
BD
CRD#: 2225
SCOTTSDALE, AZ
Past
January 13, 2009 - March 9, 2009
SECURITIES AMERICA, INC.
BD
CRD#: 10205
TEMPE, AZ
Past
December 3, 2007 - November 28, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
PHOENIX, AZ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(10/31/2025)
IAR
Arizona(10/31/2025)
RR
California(10/31/2025)
RR
Colorado(10/31/2025)
RR
Connecticut(10/31/2025)
RR
Kentucky(10/31/2025)
RR
Maine(10/31/2025)
RR
New York(10/31/2025)
RR
North Carolina(11/3/2025)
RR
South Carolina(10/31/2025)
RR
Washington(10/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
