Sam Peter John Irvine

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → 10/2019
  1St Global Capital Corp
  Rochester, NY
• 11/2014 → Present
  Davie Kaplan Wealth Care Advisors, Llc
  Rochester, NY
• 11/2014 → 09/2025
  Avantax Insurance Services, Inc.
  Rochester, NY
• 11/2014 → 10/2019
  1St Global Advisors, Inc
  Rochester, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Rochester, NY
• 10/2023 → 09/2025
  Avantax Advisory Services
  Rochester, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Rochester, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-10-24 → 2025-09-05
  Avantax Advisory Services
  Rochester, NY
  Dallas, TX
  Rochester, NY
  Farmington, NY
• 2013-06-28 → 2014-11-17
  Morgan Stanley
  Rochester, NY

Other Businesses

1) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC FORMERLY DKCB WEALTH CARE ADVISORS, LLCPOSITION: MEMBER/REFERRING ADVISOR NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/10/2014 ADDRESS: ROCHESTER NY , UNITED STATES 2) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) - INSURANCE POSITION: INSURANCE AGENT NATURE: SEPARATE RIA FOR THE PURPOSES OF THIRD PARTY ASSET MANAGEMENT, AND INSURANCE. INVESTMENT RELATED: YES NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2014 ADDRESS: 1000 FIRST FEDERAL PLAZA, ROCHESTER NY 14614, UNITED STATES DESCRIPTION: CONDUCTS INSURANCE SALES/REFERRALS; 3) DAVIE KAPLAN WEALTH CARE ADVISORS (RIA) POSITION: IAR, NATURE: RIA, INVESTMENT RELATED: YES NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: 1000 FIRST FEDERAL PLAZA, ROCHESTER NY 14614, UNITED STATES DESCRIPTION: FINANCIAL PLANNING 4) GREATER ROCHESTER HABITAT FOR HUMANITY POSITION: COMMITTEE MEMBER - FINANCE COMMITTEE NATURE: PARTICIPATE IN MONTHLY MEETINGS TO REVIEW FORECASTS AND BUDGETS FOR OPERATIONS, FUNDRAISING, AND OTHER MEANS OF GENERATING REVENUE. INVESTMENT RELATED: NO NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/18/2024 ADDRESS: 755 CULVER ROAD, ROCHESTER NY 14614, UNITED STATES DESCRIPTION: I WILL SERVE ON THE FINANCE COMMITTEE TO OFFER ADDITIONAL PERSPECTIVE WITH RESPECT TO OPERATIONS OVERSIGHT. THE FINANCE COMMITTEE DOES MAINTAIN SOME ARMS-LENGTH ACKNOWLEDGEMENT AND APPROVAL OF INVESTMENT COMMITTEE RELATED ACTIVITIES;

Exams

• S66 Uniform Combined State Law Examination
  2013-06-27

Designations

• Certified Financial Planner