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David Lawrence Preston Sharps

Cetera Investment Advisers LLC

Oakland, MD

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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 2023-01-18
MD RA APPROVED 2014-01-21
  • TX RA
    APPROVED_RES
    Since 2023-01-18
  • MD RA
    APPROVED
    Since 2014-01-21

Branch Locations

19 South Second Street, Oakland, MD 21550 • 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
First United Bank & Trust Oakland MD 05/2004 Present
Cetera Investment Services Llc St. Cloud MN 08/2005 Present
Cetera Investment Advisers Llc Oakland MD 01/2014 Present
  • 05/2004 → Present
    First United Bank & Trust
    Oakland, MD
  • 08/2005 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Oakland, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-01-23
S63 Uniform Securities Agent State Law Examination 2006-01-09
  • S65 Uniform Investment Adviser Law Examination
    2012-01-23
  • S63 Uniform Securities Agent State Law Examination
    2006-01-09
Other Names
  • Preston Sharps

View on SEC IAPD

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John Andrew Rose
KEITH R. SANDERS
ANNETTE MARIE CHAPMAN
TREVOR JOSEPH PHILLIPS
SARAH ANN MICHAEL
FRANK ROSARIO FATO
EDWARD RAY LYTLE
DAVID JASON UPOLE

Other Offices

EDWARD JONES · OAKLAND, MD
TRUIST ADVISORY SERVICES, INC. · OAKLAND, MD
LPL FINANCIAL LLC · MC HENRY, MD
CETERA INVESTMENT ADVISERS LLC · MCHENRY, MD
EDWARD JONES · KINGWOOD, WV
LPL FINANCIAL LLC · GRANTSVILLE, MD
CETERA INVESTMENT ADVISERS LLC · GRANTSVILLE, MD

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