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Detailed Report
David Wieseneck
DAVID MICHAEL WIESENECK
CRD#: 2627604
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 140 Magnolia Way
Tequesta, FL 33469
CETERA ADVISOR NETWORKS LLCCRD#: 13572 Tequesta, FL
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2007 (7 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2020 (8 years)2 FIRMS2020 - 2025 (5 years)2 FIRMS2025 - Present (<1 year)
Disclosure(s)
View By:
5/9/2005
Regulatory
Final
License(s)

State Registrations

B
Colorado 2/24/2025
B
North Carolina 2/25/2025
B
Florida 2/13/2025
B
Utah 2/24/2025
IA
Florida 2/19/2025
B
Virginia 2/24/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
140 Magnolia Way, Tequesta, FL 33469
Registered with this firm since 2/19/2025
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
Tequesta, FL
Registered with this firm since 2/12/2025
Previous Registration(s)
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IA
 01/28/2020 - 02/21/2025 CONCOURSE FINANCIAL GROUP ADVISORS (CRD#:15708) Tequesta, FL
B
 01/27/2020 - 02/21/2025 CONCOURSE FINANCIAL GROUP SECURITIES, INC. (CRD#:15708) Tequesta, FL
IA
 01/26/2012 - 02/11/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) PALM BEACH GARDENS, FL
B
 01/25/2012 - 02/11/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) PALM BEACH GARDENS, FL
IA
 06/01/2009 - 02/01/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) NORTH PALM BEACH, FL
B
 06/01/2009 - 02/01/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) NORTH PALM BEACH, FL
IA
 05/14/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NORTH PALM BEACH, FL
B
 05/11/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NORTH PALM BEACH, FL
IA
 03/20/2000 - 06/08/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALM BEACH GARDENS, FL
B
 03/16/2000 - 06/08/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALM BEACH GARDENS, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.