David Michael Gallaway

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

Authority	Category	Status	Date
TX	RA	APPROVED	2021-07-20
NJ	RA	APPROVED	2020-11-12

TX RA
APPROVED

Since 2021-07-20
NJ RA
APPROVED

Since 2020-11-12

Branch Locations

516 Hamburg Turnpike, Suite 1 Wayne, Wayne, NJ 07470 • 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

Organization	City	State	From	To
Tfs Securities Inc	Lincroft	NJ	01/2016	12/2016
Kenneth J Snell Pfs	Pompton Lakes	NJ	02/2012	12/2021
Mortgage Network Solutions	Wilmington	DE	07/2013	Present
First Allied Securities Inc	San Diego	CA	12/2016	09/2022
First Allied Advisory Services, Inc.	San Diego	CA	06/2017	11/2020
First Allied Advisory Services	Schaumburg	IL	11/2020	11/2020
Cetera Advisors Llc	Wayne	NJ	09/2022	Present
David M. Gallaway Financial Services, Llc	Wayne	NJ	01/2022	Present
Cetera Investment Advisers Llc	Schaumburg	IL	11/2020	Present

01/2016 → 12/2016

Tfs Securities Inc

Lincroft, NJ
02/2012 → 12/2021

Kenneth J Snell Pfs

Pompton Lakes, NJ
07/2013 → Present

Mortgage Network Solutions

Wilmington, DE
12/2016 → 09/2022

First Allied Securities Inc

San Diego, CA
06/2017 → 11/2020

First Allied Advisory Services, Inc.

San Diego, CA
11/2020 → 11/2020

First Allied Advisory Services

Schaumburg, IL
09/2022 → Present

Cetera Advisors Llc

Wayne, NJ
01/2022 → Present

David M. Gallaway Financial Services, Llc

Wayne, NJ
11/2020 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2017-06-06 → 2020-11-12

First Allied Advisory Services, Inc.

Pompton Lakes, NJ

Other Businesses

1. MORTGAGE NETWORK SOLUTIONS; INDEPENDENT CONTRACTOR; MORTGAGE/BANKING; START DATE 12/01/2016; 80 HOURS PER MONTH. 2. DAVID M GALLAWAY TAX SERVICE; OWNER; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE 01/01/2022; 80 HOURS PER MONTH. 3. NAME OF OTHER BUSINESS: DAVID M. GALLAWAY FINANCIAL SERVICES, LLC; INVESTMENT RELATED: YES; ADDRESS: 516 HAMBURG TURNPIKE SUITE 1 WAYNE, NJ 07470; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: OWNER/ FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-05-31
S63	Uniform Securities Agent State Law Examination	2016-09-07

S65 Uniform Investment Adviser Law Examination

2017-05-31
S63 Uniform Securities Agent State Law Examination

2016-09-07

Designations

Certified Financial Planner

Other Names

David Gallaway

View on SEC IAPD