David Allen Jaffa

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

• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. OFFER FIXED INSURANCE: LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE.; 2. NAME OF OTHER BUSINESS: FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES. 3. NAME OF OTHER BUSINESS: AMERICAN TECHNION SOCIETY; INVESTMENT RELATED: NO; ADDRESS: 6735 TELEGRAPH RD #304, BLOOMFIELD HILLS, MI 48301; NATURE OF BUSINESS: NON-PROFIT ORGANIZATION; START DATE: 09/01/2009; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER IN NAME ONLY. 4. NAME OF OTHER BUSINESS: DAVID A. JAFFA AND CO.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEPARATE ENTITY FOR FEES, COMMISSIONS AND EXPENSES; START DATE: 04/1989; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ENTITY CREATED FOR FEES, COMMISSIONS AND EXPENSES; 5. NAME OF OTHER BUSINESS: SHERI & DAVID JAFFA FAMILY SUPPORT FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FOUNDATION; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: TO MAKE GIFTS TO OTHER CHARITIES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1989-09-21

Designations

• Certified Financial Planner