DO
David R. Oliver
CETERA INVESTMENT ADVISERS LLC
MINSTER, OH 45865
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CRD#: 6287529
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Professional summary
David R Oliver, who also goes by David Richard Oliver, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minster, Ohio and CETERA INVESTMENT SERVICES LLC located in Minster, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. David has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Richard Oliver
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) WEALTH MANAGEMENT ADVISOR-MANAGE DEPT., MEET W/CUSTOMERS, REPORT TO TRUST COMMITTEES, MANAGE TRUST COMPLIANCE. WORK W/CUSTOMERS TO COMPLETE QUESTIONNAIRE, DETERMINE ASSET ALLOCATION, AND CREATE INVESTMENT POLICY STATEMENT. TRUST COMM. WILL MONITOR ACCOUNTS, SPECIFIC RECOMMENDATIONS ARE NOT MADE AND WILL ABSTAIN FROM VOTING ON THE COMMITTEE. 2) SOUTHWEST AUGLIAZE COUNTY CHAMBER OF COMMERCE, BOARD MEMBER, HELPING CHAMBER MAKE DECISIONS IN THEIR BEST INTEREST, NO CONTROL OVER ANY FUNDS 3) OLIVER RENTALS LLC, 100% OWNER, MANAGE PROPERTIES AND RENOVATION PROJECTS, 4/HRS/WK
CRS (Client Relationship Summary) - RIA
Click below to view David R Oliver'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
March 19, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 95 W 4th Street, Minster, OH 45865RIA
CRD#: 105644
MINSTER, OH
Current
March 16, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 95 W. Fourth Street, Minster, OH 45865BD
CRD#: 15340
Minster, OH
Past
April 28, 2014 - March 27, 2018
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
Troy, OH
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
Ohio(3/16/2018)
IAR
Ohio(3/19/2018)
RR
Texas(4/9/2020)
IAR
Texas(1/24/2023)
Exams
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.
