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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
CT RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • CT RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

555 Long Wharf Drive 11Th Floor, New Haven, CT 06511 • United States

Wallingford, CT • 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
Park Avenue Securities Madison CT 08/2013 09/2017
Guardian Life Ins Co Of America Madison CT 06/2013 09/2017
Guardian Life Insurance Hamden CT 09/2017 11/2019
Park Avenue Securities Hamden CT 09/2017 11/2019
Guardian Life Insurance Company New Haven CT 11/2019 02/2023
Park Avenue Securities New Haven CT 11/2019 02/2023
Cetera Wealth Services, Llc El Segundo CA 02/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/2013 → 09/2017
    Park Avenue Securities
    Madison, CT
  • 06/2013 → 09/2017
    Guardian Life Ins Co Of America
    Madison, CT
  • 09/2017 → 11/2019
    Guardian Life Insurance
    Hamden, CT
  • 09/2017 → 11/2019
    Park Avenue Securities
    Hamden, CT
  • 11/2019 → 02/2023
    Guardian Life Insurance Company
    New Haven, CT
  • 11/2019 → 02/2023
    Park Avenue Securities
    New Haven, CT
  • 02/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2013-08-15 → 2023-02-16
    New Haven, CT
    Hamden, CT
    New Haven, CT
  • 2006-03-23 → 2013-07-31
    Msi Financial Services, Inc.
    Shelton, CT
    Glastonbury, CT
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2014; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 45; APX NUMBER OF HOURS DURING TRADING HOURS: 45; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, HELP CLIENTS WITH THEIR GOALS AND OBJECTIVES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-15
S63 Uniform Securities Agent State Law Examination 1998-10-16
  • S65 Uniform Investment Adviser Law Examination
    2006-03-15
  • S63 Uniform Securities Agent State Law Examination
    1998-10-16
Other Names
  • Dave Gordon Gay
  • Dave G Gay
  • David Gordon Gay

View on SEC IAPD

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