David Jason Upole

Cetera Investment Advisers LLC

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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

Authority	Category	Status	Date
MD	RA	APPROVED	2018-08-07

MD RA
APPROVED

Since 2018-08-07

Branch Locations

38 Vacation Way, Mchenry, MD 21541 • 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
First United Bank & Trust	Cumberland	WV	11/2015	Present
Cetera Investment Services Llc	St. Coud	MN	11/2015	Present
Cetera Investment Advisers Llc	Cumberland	WV	11/2015	Present

11/2015 → Present

First United Bank & Trust

Cumberland, WV
11/2015 → Present

Cetera Investment Services Llc

St. Coud, MN
11/2015 → Present

Cetera Investment Advisers Llc

Cumberland, WV

Previous Registrations

2009-02-20 → 2015-11-13

M&T Securities, Inc.

Westernport, MD

Cumberland, MD

Cumberland, MD

Lavale, MD

Frostburg, MD

Grantsville, MD

La Vale, MD

Oakland, MD

Oakland, MD

Frederick, MD

Annapolis, MD

Annapolis, MD

Williamsport, PA

Fort Ashby, WV

Keyser, WV

Leesburg, VA
2005-07-11 → 2009-01-23

M&T Securities, Inc.

Frostburg, MD

Lavale, MD

La Vale, MD

Cumberland, MD

Oakland, MD

Grantsville, MD

Oakland, MD

Cumberland, MD

Cheektowaga, NY

Other Businesses

1. TRUST OFFICER FOR FIRST UNITED TRUST AND INVESTMENTS; HELP DEVELOP FINANCIAL PLANS USING MONEYGUIDE PRO AND ASSIST IN DETERMINING ASSET ALLOCATION

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-07-08
S63	Uniform Securities Agent State Law Examination	1998-10-17

S65 Uniform Investment Adviser Law Examination

2005-07-08
S63 Uniform Securities Agent State Law Examination

1998-10-17

Other Names

Dave Upole

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC

TRUIST ADVISORY SERVICES, INC.

TRUSTMONT ADVISORY GROUP, INC.

Other Investors

JULIA MARIE HERSHMAN

EDWARD RAY LYTLE

DAVID LAWRENCE PRESTON SHARPS

KEITH R. SANDERS

ANNETTE MARIE CHAPMAN

TREVOR JOSEPH PHILLIPS

SARAH ANN MICHAEL

John Andrew Rose

Other Offices

LPL FINANCIAL LLC · MC HENRY, MD

CETERA INVESTMENT ADVISERS LLC · OAKLAND, MD

EDWARD JONES · OAKLAND, MD

TRUIST ADVISORY SERVICES, INC. · OAKLAND, MD

LPL FINANCIAL LLC · GRANTSVILLE, MD

CETERA INVESTMENT ADVISERS LLC · GRANTSVILLE, MD

TRUSTMONT ADVISORY GROUP, INC. · CONFLUENCE, PA

EDWARD JONES · KINGWOOD, WV

More in Mchenry, MD

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