DG
David M. Gallaway
CETERA INVESTMENT ADVISERS LLC
WAYNE, NJ 07470
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CRD#: 6606321
DG
Professional summary
David Michael Gallaway, CFP®, who also goes by David Gallaway, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wayne, New Jersey and CETERA ADVISORS LLC located in Wayne, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Gallaway
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. MORTGAGE NETWORK SOLUTIONS; INDEPENDENT CONTRACTOR; MORTGAGE/BANKING; START DATE 12/01/2016; 80 HOURS PER MONTH. 2. DAVID M GALLAWAY TAX SERVICE; OWNER; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE 01/01/2022; 80 HOURS PER MONTH. 3. NAME OF OTHER BUSINESS: DAVID M. GALLAWAY FINANCIAL SERVICES, LLC; INVESTMENT RELATED: YES; ADDRESS: 516 HAMBURG TURNPIKE SUITE 1 WAYNE, NJ 07470; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: OWNER/ FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Gallaway'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: 2015
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 516 Hamburg Turnpike, Suite 1 Wayne, Wayne, NJ 07470RIA
CRD#: 105644
WAYNE, NJ
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 516 Hamburg Turnpike, Ste 1, Wayne, NJ 07470BD
CRD#: 10299
Wayne, NJ
Past
June 6, 2017 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Pompton Lakes, NJ
Past
December 5, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Wayne, NJ
Past
February 2, 2016 - December 23, 2016
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
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
Colorado(9/8/2022)
RR
Connecticut(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
IAR
New Jersey(11/12/2020)
RR
New Jersey(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(8/13/2024)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(1/24/2025)
IAR
Texas(7/20/2021)
RR
Texas(9/8/2022)
RR
Vermont(9/8/2022)
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.
