DH
David A. Hicks
CETERA INVESTMENT ADVISERS LLC
BALTIMORE, MD 21230
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CRD#: 733045
DH
Professional summary
David Arthur Hicks is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baltimore, Maryland and CETERA ADVISORS LLC located in Baltimore, Maryland.
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 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/1981; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: CSH JOINT VENTURE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: 11 E. POULTNEY ST. BALTIMORE, MD 21230; START DATE: 01/1981; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OWN, AND RENT 3 APARTMENTS; 3. NAME OF OTHER BUSINESS: DAVID A. HICKS, LTD.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS EXPENSES ARE PARTLY PAID FROM IT; START DATE: 07/1985; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: WRITE CHECKS, FILE TAX RETURN; 4. NAME OF OTHER BUSINESS: TOTUS WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 37.5; BRIEF DESCRIPTION OF DUTIES: RETIREMENT PLANNING AND IMPLEMENTATION, SECURITIES & INSURANCE;
CRS (Client Relationship Summary) - RIA
Click below to view David Arthur Hicks'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
May 28, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11 E. Poultney St, Baltimore, MD 21230Office #2: 1502 Thumb Point Drive Ft., Ft. Pierce, FL 34949RIA
CRD#: 105644
BALTIMORE, MD
Current
May 28, 2025 - Present
CETERA ADVISORS LLC
Office #1: 11 E. Poultney St, Baltimore, MD 21230BD
CRD#: 10299
BALTIMORE, MD
Past
August 23, 2024 - June 1, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
Baltimore, MD
Past
August 23, 2024 - June 1, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Baltimore, MD
Past
July 19, 2016 - August 23, 2024
TRIAD ADVISORS LLC
RIA
CRD#: 25803
Baltimore, MD
Past
July 18, 2016 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Baltimore, MD
Past
February 3, 2015 - August 18, 2016
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
Ft. Pierce, FL
Past
September 25, 1987 - August 18, 2016
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Ft. Pierce, FL
Past
September 5, 1986 - September 30, 1987
PSA EQUITIES, INC.
BD
CRD#: 15676
Past
February 27, 1984 - September 15, 1986
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
June 15, 1981 - February 23, 1984
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
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
Arizona(6/2/2025)
RR
California(5/29/2025)
RR
Colorado(6/2/2025)
RR
Delaware(6/6/2025)
RR
Florida(5/29/2025)
IAR
Florida(6/2/2025)
RR
Georgia(5/29/2025)
IAR
Maryland(5/28/2025)
RR
Maryland(5/29/2025)
RR
Michigan(6/2/2025)
RR
Nevada(5/29/2025)
RR
North Carolina(6/2/2025)
RR
Ohio(6/4/2025)
RR
Pennsylvania(5/29/2025)
RR
Texas(5/28/2025)
IAR
Texas(5/28/2025)
RR
Vermont(6/2/2025)
RR
Virginia(6/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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.
