DT
David A. Tozer
CETERA INVESTMENT ADVISERS LLC
SAN JOSE, CA 95124
Some features on this profile are disabled
CRD#: 5616113
DT
Professional summary
David Aburrow Tozer, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Jose, California and CETERA WEALTH SERVICES, LLC located in San Jose, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. David has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 11/09/2011, 2HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS ANNUITIES; 2.NAME OF OTHER BUSINESS: SANTA BARBARA COASTAL ADVISORS INVESTMENT RELATED: YES ADDRESS: 3700 STATE ST SUITE 230 SANTA BARBARA CA 93105 NATURE OF BUSINESS: DBA FOR SECURITIES START DATE: 4/2012 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDE INVESTMENT ADVICE AND RETIREMENT GUIDANCE 3.NAME OF OTHER BUSINESS: TOZER WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR CETERA ADVISOR NETWORKS START DATE: 1/2017 APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR BRIEF DESCRIPTION OF DUTIES: ALL DUTIES RELATED TO RUNNING FA PRACTICE 4.NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: 79 W. SHOSHONE ST. VENTURA CA 93001 NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 2/2015 APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: OWNER; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY OWNER; 5. NAME OF OTHER BUSINESS: TOZER ENTERPRISES; INVESTMENT RELATED: NO; ADDRESS: 1610 BLOSSOM HILL RD STE 7C, SAN JOSE, CA 94596; NATURE OF BUSINESS: S-CORP / BUSINESS ENTITY FOR LIABILITY AND TAX PURPOSES; START DATE: 01/2015; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT; APX NUMBER OF HOURS PER WEEK:LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: DAY TO DAY OPERATIONS;
CRS (Client Relationship Summary) - RIA
Click below to view David Aburrow Tozer'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®
CFP®
Start date: 2014
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1610 Blossom Hill Rd Ste 7c, San Jose, CA 95124Office #2: 555 Mason Street Suite 245a, Vacaville, CA 95688RIA
CRD#: 105644
SAN JOSE, CA
Current
December 4, 2009 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1610 Blossom Hill Rd Ste 7c, San Jose, CA 95124Office #2: 555 Mason Street Suite 245a, Vacaville, CA 95688BD
CRD#: 13572
San Jose, CA
Past
September 19, 2011 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
VACAVILLE, 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".
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
Alabama(11/29/2018)
RR
Arizona(1/3/2018)
RR
California(3/1/2010)
IAR
California(6/29/2023)
RR
Colorado(1/3/2018)
RR
Delaware(9/17/2025)
RR
Florida(3/31/2016)
RR
Georgia(1/3/2022)
RR
Hawaii(1/17/2019)
RR
Idaho(2/27/2017)
RR
Illinois(1/3/2018)
RR
Indiana(9/1/2021)
RR
Iowa(8/22/2018)
RR
Kansas(1/3/2018)
RR
Louisiana(1/3/2018)
RR
Maine(7/10/2025)
RR
Maryland(9/13/2018)
RR
Massachusetts(9/16/2014)
RR
Missouri(1/3/2018)
RR
Montana(1/3/2018)
RR
Nevada(1/3/2018)
RR
New Jersey(9/9/2024)
RR
New Mexico(1/17/2019)
RR
New York(5/19/2015)
RR
North Carolina(1/3/2018)
RR
North Dakota(8/22/2018)
RR
Oregon(1/3/2018)
RR
Pennsylvania(1/5/2017)
RR
South Carolina(1/3/2018)
RR
South Dakota(7/17/2024)
RR
Tennessee(5/26/2023)
RR
Texas(1/3/2018)
IAR
Texas(6/29/2023)
RR
Utah(1/3/2018)
RR
Virginia(1/24/2018)
RR
Washington(7/16/2015)
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.
