DD
David J. Dettloff
MOORS & CABOT
Naples, FL 34108
Some features on this profile are disabled
CRD#: 728330
DD
Professional summary
David Joseph Dettloff, who also goes by Dave Dettloff, is a registered financial advisor currently at MOORS & CABOT, INC. located in Naples, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. David has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Dettloff
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.
CRS (Client Relationship Summary) - RIA
Click below to view David Joseph Dettloff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Joseph Dettloff'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
November 2, 2015 - Present
MOORS & CABOT, INC.
Office #1: 999 Vanderbilt Beach Road Suite 102, Naples, FL 34108RIA
BD
CRD#: 594
Naples, FL
Current
October 21, 2015 - Present
MOORS & CABOT, INC.
Office #1: 999 Vanderbilt Beach Road Suite 102, Naples, FL 34108RIA
BD
CRD#: 594
Naples, FL
Past
November 4, 2009 - October 28, 2015
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
NAPLES, FL
Past
October 15, 2009 - October 28, 2015
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
NAPLES, FL
Past
August 1, 2006 - October 22, 2009
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
NAPLES, FL
Past
July 27, 2006 - October 22, 2009
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
NAPLES, FL
Past
July 23, 2004 - May 26, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NAPLES, FL
Past
July 9, 2004 - May 26, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
NAPLES, FL
Past
July 2, 1992 - July 23, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NAPLES, FL
Past
July 2, 1992 - July 23, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 14, 1988 - July 7, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 15, 1988 - April 19, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
April 13, 1981 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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(11/9/2016)
RR
Arizona(2/23/2017)
RR
California(1/3/2017)
RR
Colorado(6/30/2016)
RR
Connecticut(6/30/2016)
RR
Florida(10/21/2015)
IAR
Florida(11/2/2015)
RR
Georgia(10/30/2015)
RR
Idaho(2/10/2023)
RR
Illinois(10/21/2015)
RR
Iowa(7/5/2018)
RR
Kentucky(6/1/2022)
RR
Louisiana(10/21/2015)
RR
Maine(2/6/2023)
RR
Maryland(1/18/2018)
RR
Massachusetts(6/24/2016)
RR
Michigan(10/21/2015)
RR
Missouri(6/8/2017)
RR
Montana(6/30/2016)
RR
New Jersey(10/21/2015)
RR
New Mexico(6/30/2016)
RR
New York(6/30/2016)
RR
North Carolina(10/21/2015)
RR
Ohio(10/21/2015)
RR
Oregon(6/26/2018)
RR
Pennsylvania(7/23/2024)
RR
South Carolina(4/12/2017)
RR
Tennessee(6/14/2016)
RR
Vermont(6/24/2016)
RR
Virginia(6/30/2016)
RR
West Virginia(8/27/2016)
RR
Wisconsin(10/21/2015)
RR
Wyoming(6/30/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/9/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 4 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
