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DW

David M. Woldman

CETERA INVESTMENT ADVISERS
ELLISVILLE, MO 63011
Some features on this profile are disabled
CRD#: 6413116
DW
David M WoldmanCETERA INVESTMENT ADVISERS

Professional summary

David M Woldman, who also goes by David Woldman, David Matthew Woldman Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ellisville, Missouri and CETERA INVESTMENT SERVICES LLC located in Ellisville, Missouri.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. David has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

David Woldman | David Matthew Woldman Jr

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.
INSURANCE AND FIXED ANNUITIES OFFERED THROUGH JBC/JACKSON BROKERAGE AND BANK OF FRANKLIN COUNTY AGENCY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David M Woldman'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

July 1, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 15928 Manchester Rd, Ellisville, MO 63011
RIA
CRD#: 105644
ELLISVILLE, MO
Current

July 1, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 15928 Manchester Rd, Ellisville, MO 63011
BD
CRD#: 15340
ELLISVILLE, MO
Past

December 2, 2024 - July 23, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
Chesterfield, MO
Past

December 2, 2024 - July 23, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
Chesterfield, MO
Past

September 12, 2024 - January 8, 2025

EDWARD JONES

RIA
CRD#: 250
ST LOUIS, MO
Past

September 12, 2024 - January 8, 2025

EDWARD JONES

BD
CRD#: 250
ST LOUIS, MO
Past

August 11, 2023 - July 8, 2024

EDWARD JONES

RIA
CRD#: 250
WEBSTER GROVES, MO
Past

August 11, 2023 - July 8, 2024

EDWARD JONES

BD
CRD#: 250
WEBSTER GROVES, MO
Past

January 30, 2023 - August 15, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
O'Fallon, MO
Past

January 30, 2023 - August 15, 2023

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
O'Fallon, MO
Past

December 2, 2019 - December 22, 2022

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
SAINT CHARLES, MO
Past

December 2, 2019 - December 22, 2022

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT CHARLES, MO
Past

October 18, 2017 - December 3, 2019

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
Ballwin, MO
Past

October 18, 2017 - December 3, 2019

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
Ballwin, MO
Past

April 1, 2015 - August 4, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LADUE, MO
Past

February 6, 2015 - August 4, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LADUE, MO

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
Missouri
(7/1/2026)
IAR
Missouri
(7/1/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/31/2015
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: 2/6/2015
General Securities Representative Examination
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)
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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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Ellisville, MO 63011

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