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David Moffatt

Cetera Investment Advisers LLC

Palm Harbor, FL

El Segundo, CA

CRD 6582064

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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:

Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-03-12
  • FL RA
    APPROVED
    Since 2024-03-12

Branch Locations

Palm Harbor, FL • United States

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • 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
Raymond James St. Petersburg FL 11/2015 12/2021
Ceter Adviser Netowrks Llc El Segundo CA 01/2022 Present
Cetera Investment Services Llc St Cloud MN 01/2022 Present
Cetera Financial Specialists Schaumburg IL 01/2022 Present
Cetera Advisors Llc Greenwood Village CO 01/2022 Present
First Allied Securities Inc San Diego CA 01/2022 09/2022
Cetera Wealth Services, Llc El Segundo CA 01/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 11/2015 → 12/2021
    Raymond James
    St. Petersburg, FL
  • 01/2022 → Present
    Ceter Adviser Netowrks Llc
    El Segundo, CA
  • 01/2022 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2022 → Present
    Cetera Financial Specialists
    Schaumburg, IL
  • 01/2022 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 01/2022 → 09/2022
    First Allied Securities Inc
    San Diego, CA
  • 01/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2024 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-01
  • S66 Uniform Combined State Law Examination
    2024-03-01
Other Names
  • David Joseph Moffatt

View on SEC IAPD

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