David Richard Davis

Current Employers

Employment History

• 10/1980 → Present
  Johanson & Yau Accoutancy Corp
  San Jose, CA
• 10/2001 → 10/2019
  1St Global Capital Corp
  San Jose, CA
• 03/2002 → 10/2019
  1St Global Advisors, Inc.
  San Jose, CA
• 05/2003 → 09/2025
  Avantax Insurance Services, Inc.
  Campbell, CA
• 10/2019 → 09/2025
  Avantax Advisory Services
  Campbell, CA
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Campbell, CA
• 07/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Campbell, CA
• 2002-03-08 → 2019-10-25
  1St Global Advisors Inc
  San Jose, CA

Other Businesses

1) The C.B Trust; Non-investment related; Trustee 2) The L. Irrevocable Trust; Non-investment related; Trustee 3) The R & C.B Trust; Non-investment related; Trustee 4) JY WEALTHCARE LLC; MANAGING MEMBER; FINANCIAL SERVICES; Invest related; 40hrs; 40 hrs during trading; started 01/01/2002; San Jose CA 95113; Provide financial services to clients. 5)NAME OF OTHER BUSINESS: JOHANSON & YAU ACCOUNTANCY CORP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNTING SERVICES; START DATE: 10/1980; POSITION/TITLE/RELATIONSHIP: PRINCIPAL; APX NUMBER OF HOURS PER WEEK: 24; APX NUMBER OF HOURS DURING TRADING HOURS: 24; BRIEF DESCRIPTION OF DUTIES: TAX AND ACCOUNTING SERVICES; 6) THE R.B. TRUST; TRUSTEE NATURE: TRUST; Not invest related; 1hr; 1 hr during trading; Started 01/01/1999; Trustee 7) THE CHRISTINE BEBB TRUST POSITION: TRUSTEE NATURE: TRUST - Irrevocable Life Insurance Trust INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/20/2001 ADDRESS: 42 W Campbell Avenue, Third Floor, Campbell CA 95008, DESCRIPTION: Oversee annual payment of Insurance premiums.Review annual insurance premium billings. 8) 42 W CAMPBELL JY, LLC POSITION: Managing Member NATURE: Rental Real Estate. We bought the building, in February of 2021, where our CPA firm and JY WealthCare LLC is housed. There are three other tenants in the building as well. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/28/2021 ADDRESS: 42 West Campbell Ave, Third Floor, Campbell CA 95008, United States DESCRIPTION: Oversee an external property manager. The property manager collects all rent including the rent of Johanson & Yau Accountancy Corp and the three tenants. I prepare and file the tax returns for this new entity. 9) JOSEPH GEORGE DISTRIBUTOR POSITION: CPA Board Member NATURE: The organization has two businesses. It is a commercial landlord. It rents business property to a commercial tenant on a long term lease. It also operates a boutique retail wine store in San Jose. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 1559 Meridian Ave, San Jose CA 95125, United States DESCRIPTION: Act as external CPA as related to tax planning and preparation. Attend annual board meeting in my role as CPA. Go over prior year financial statements and answer questions regarding the financials. My role as board member is that I act as CPA in these meetings? 10) NAME OF OTHER BUSINESS: BKR INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: 60 EAST 42ND STREET SUITE 4600 NEW YORK, NY 10165; NATURE OF BUSINESS: NON PROFIT; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: CHAIR THE BOARD, WORK WITH CEO, REGIONAL DIRECTORS AND WORLDWIDE BOARD TO OVERSEE DELIVERY OF SERVICES, CONFERENCES AND OTHER EDUCATIONAL OPPORTUNITIES;

Exams

• S66 Uniform Combined State Law Examination
  2001-12-28

Designations