DT
David C. Taplin
CETERA INVESTMENT ADVISERS LLC
Lawton, MI
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CRD#: 5586584
DT
Professional summary
David Carl Taplin, who also goes by David Taplin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lawton, Michigan and CETERA WEALTH SERVICES, LLC located in Lawton, Michigan.
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 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Taplin
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) INSURANCE AGENT; SINCE 10/25/2006; SAME AS BRANCH ADDRESS; SALESMAN; MEDICARE SUPPLEMENT SALES; 10 HOURS SPENT ON ACTIVITY PER MONTH, 10 HOURS SPENT ON ACTIVITY PER MONTH DURING TRADING HOURS
(2) TAPLIN FARMS; SINCE 08/01/2015; 23712 COUNTY ROAD 354, LAWTON, MI, 49065; OWNER; Rental of land to a local farmer for crops. We also sell eggs and firewood from our home; 10 HOURS SPENT ON ACTIVITY DURING THE MONTH, 0 HOURS SPENT ON ACTIVITY DURING TRADING HOURS
(3) DAVID TAPLIN TAX PREP SOLE PROPRIETOR; NOT INVESTMENT-RELATED; SAME AS REGISTERED ADDRESS; TAX PREPARATION; OWNER; STARTED 3/27/2017; APX 10 HOURS/MONTH, NONE DURING TRADING; PREPARE TAX RETURNS
CRS (Client Relationship Summary) - RIA
Click below to view David Carl Taplin'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Lawton, MI
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Lawton, MI
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 28, 2019 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
LAWTON, MI
Past
May 31, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
Lawton, MI
Past
June 4, 2010 - June 9, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
KALAMAZOO, MI
Past
October 31, 2008 - May 28, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
KALAMAZO, MI
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
Florida(9/21/2019)
RR
Idaho(9/20/2019)
RR
Indiana(9/20/2019)
RR
Iowa(9/5/2024)
RR
Michigan(9/20/2019)
IAR
Michigan(6/29/2023)
RR
Ohio(5/11/2021)
RR
Pennsylvania(9/20/2019)
RR
Tennessee(9/20/2019)
RR
Wyoming(9/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/28/2019
General Securities Representative ExaminationGeneral 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
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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.
