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David Jonathan Wood

Cetera Investment Advisers LLC

Loveland, OH

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-04-01
OH RA APPROVED 2003-04-23
  • TX RA
    APPROVED_RES
    Since 2019-04-01
  • OH RA
    APPROVED
    Since 2003-04-23

Branch Locations

Loveland, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Financial Specialists Llc Schaumburg IL 01/2004 Present
Cetera Investment Advisers Llc Schaumburg IL 04/2003 Present
Other Businesses

1) SELL HEALTH INSURANCE/HEALTH PLANS TO SMALL BUSINESSES AND INDIVIDUALS, NOT INV REL, AGENT, SINCE 11/2007, 3H/YEAR:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-04-09
S63 Uniform Securities Agent State Law Examination 2002-02-25
  • S65 Uniform Investment Adviser Law Examination
    2003-04-09
  • S63 Uniform Securities Agent State Law Examination
    2002-02-25

View on SEC IAPD

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