David Kent Sanford

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2002 → 08/2020
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2005 → 08/2020
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 08/2020 → 08/2023
  Securities America, Inc.
  Springfield, MO
• 08/2020 → 08/2023
  Securities America Advisors
  Springfield, MO
• 08/2023 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 08/1997 → Present
  Sanford & Associates
  Springfield, MO
• 08/2023 → Present
  Sanford & Associates
  Springfield, MO
• 03/2026 → Present
  Sanford & Associates Wealth Advisors, Llc
  Dunnegan, MO

Previous Registrations

• 2020-08-11 → 2023-08-09
  Securities America Advisors, Inc.
  Springfield, MO
• 2005-01-27 → 2020-08-13
  Cetera Investment Advisers Llc
  Sprinfield, MO

Other Businesses

1) SANFORD & ASSOCIATES; SPRINGFIELD, MO; NON-INVESTMENT RELATED; ACCOUNTING, TAX AND PAYROLL SERVICES; OWNER; SINCE 08/1997; 40 HRS/MO 2) BRUSHY CREEK FARMS; SPRINGFIELD, MO; NON-INVESTMENT RELATED; SALE/SELLS HAY; OWNER; SINCE 09/2009; 40 HRS/MO 3)GREEN LP LLC; SPRINGFIELD, MO; NON-INVESTMENT RELATED; BOBTAIL TRUCKS FOR PROPANE DELIVERY, SINCE 05/2015; OWNER; 1 HR/MO 4)LKJDR LLC; SPRINGFIELD, MO; NON-INVESTMENT RELATED; SOFTWARE COMPANY/PART OWNER; SINCE 06/2020; 1 HR/MO 5)MS PROPANE LLC; SPRINGFIELD, MO; NON-INVESTMENT RELATED; RETAIL PROPANE COMPANY/PART OWNER; SINCE 05/2014; 1HR/MO 6) MS PROPANE INVESTMENTS LLC; SPRINGFIELD, MO; NON-INVESTMENT RELATED; RETAIL PROPANE COMPANY/PART OWNER; SINCE 05/2014; 1HR/MO 7) ENTERPRISE OFFICE CENTER INCE; SPRINGFIELD, MO; NON-INVESTMENT RELATED; RENTAL OF OFFICE SPACE TO CPA FIRM AND OTHER TENANTS; OWNER; SICNE 02/2000; 1 HR/MO 8) SANFORD & ASSOCIATES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR INVESTMENTS, OWNER, SINCE 08/2023 9)NAME OF OTHER BUSINESS: SANFORD & ASSOCIATES WEALTH ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH ADVISORY START DATE: 3/2/26 POSITION/TITLE/RELATIONSHIP: MANAGER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDE INSURANCE, SECURITIES, AND ADVISORY

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-15
• S63 Uniform Securities Agent State Law Examination
  1999-10-13