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DR

David A. Rea

CETERA INVESTMENT SERVICES LLC
St Cloud, MN 56301
Some features on this profile are disabled
CRD#: 6091375
DR

Professional summary

David Anthony Rea, CFP®, CIMA®, who also goes by David A Rea, David Anthony Rea, David Rea, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.

David is registered as a RR (Registered Representative) and started their career in finance in 2012. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David A Rea | David Anthony Rea | David Rea

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Anthony Rea'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®
CFP®

Certified Financial Planner

Start date: 2015

CIMA®

Certified Investment Management Analyst

Experience

Current

February 19, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301
BD
CRD#: 15340
St Cloud, MN
Past

May 23, 2022 - October 27, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAVANNAH, GA
Past

May 20, 2022 - October 27, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAVANNAH, GA
Past

May 3, 2018 - May 20, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAVANNAH, GA
Past

May 3, 2018 - May 20, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAVANNAH, GA
Past

May 7, 2014 - August 4, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHARLOTTE, NC
Past

May 7, 2014 - August 4, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHARLOTTE, NC
Past

October 9, 2012 - May 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

September 5, 2012 - May 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC

State Registrations and Notice Filings

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

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
(2/19/2026)
RR
Florida
(2/19/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/8/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS

CRD#: 15340 / SEC#: 801-45573, 8-31826

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV 2A AND APPENDIX 1 (10/9/2013)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
CASEY, SEAN PATRICKVICE PRESIDENT2156290
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HANAU, JENNIFER LEIGHVICE PRESIDENT2898698
HOLWEGER, KIMBERLEY ANNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
KIRCHER, NICHOLE MARIEVICE PRESIDENT2876887
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELCHIEF COMPLIANCE OFFICER2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
REINHOLZ, CHRISTOPHER JONVICE PRESIDENT, DIRECTOR OF TRADING1961258
RUMMEL, LEANN RENEEMANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER1965155
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846

Disclosures

Regulatory Event12
Arbitration3

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.

Company Information

CETERA INVESTMENT SERVICES LLC

CRD#: 15340St Cloud, MN 56301

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