David C. Neilsen

CETERA INVESTMENT ADVISERS LLC

Oroville, CA 95966

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CRD#: 5527987

Professional summary

David Carl Neilsen II, who also goes by Neilsen David, David Carl Neilsen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oroville, California and CETERA WEALTH SERVICES, LLC located in Oroville, California.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. David has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neilsen David | David Carl Neilsen

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: DAVID NEILSEN & ASSOC. INC. ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: S-CORP ; START DATE: 03/2014 ; POSITION/TITLE/RELATIONSHIP: OWNER / PRINCIPAL ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: PASS THROUGH ENTITY FOR TAX PURPOSES ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carl Neilsen II'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 103 Valley View Dr, Oroville, CA 95966

RIA

CRD#: 105644

Oroville, CA

Current

September 30, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 103 Valley View Dr, Oroville, CA 95966

CRD#: 13572

Oroville, CA

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 2, 2019 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

OROVILLE, CA

Past

September 27, 2019 - October 3, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 18, 2011 - July 31, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OROVILLE, CA

Past

January 10, 2011 - July 31, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

OROVILLE, CA

Past

August 25, 2008 - January 13, 2011

EDWARD JONES

RIA

CRD#: 250

OROVILLE, CA

Past

June 27, 2008 - January 13, 2011

EDWARD JONES

CRD#: 250

OROVILLE, CA

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

Arizona
(9/30/2019)

Arkansas
(10/1/2019)

California
(9/30/2019)

IAR

California
(6/29/2023)

Florida
(3/31/2022)

Georgia
(10/1/2019)

Idaho
(8/15/2023)

Nebraska
(2/26/2020)

Nevada
(1/30/2020)

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 66

Date: 8/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/27/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/13/2011

General Securities Sales Supervisor - Options Module 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 C. Neilsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carl Neilsen II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

CETERA WEALTH SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2008

Series 10

Date: 7/27/2011

Series 9

Date: 4/13/2011

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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