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DAVID CHARLES KALUZA
DAVID C KALUZA
CRD#: 3146466
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 400 1ST ST S STE 300
ST CLOUD, MN 56301
CETERA INVESTMENT SERVICES LLCCRD#: 15340 400 1ST ST S STE 300
ST CLOUD, MN 56301
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2001 (<1 year)3 FIRMS2016 - 2021 (5 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (11 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2005 - Present (20 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2012 - 2021 (8 years)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)2016 - 2019 (3 years)BGUARANTY BROKERAGE SERVICES, INC. (CRD# 23302)2005 - 2007 (2 years)BBANCNORTH INVESTMENT GROUP, INC. (CRD# 31299)2005 - 2006 (1 year)BAXA DISTRIBUTORS, LLC (CRD# 25900)2004 - 2005 (<1 year)BGUARANTY BROKERAGE SERVICES, INC. (CRD# 23302)2002 - 2004 (2 years)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2001 - 2004 (3 years)BBANCWEST INVESTMENT SERVICES, INC. (CRD# 29357)2002 - 2003 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2001 (2 years)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Alabama 9/16/2021

B
Missouri 9/16/2021

B
Alaska 9/16/2021

B
Montana 9/16/2021

B
Arizona 9/16/2021

B
Nebraska 9/16/2021

B
Arkansas 9/16/2021

B
Nevada 9/16/2021

B
California 9/16/2021

B
New Hampshire 9/16/2021

B
Colorado 9/16/2021

B
New Jersey 9/16/2021

B
Connecticut 9/16/2021

B
New Mexico 9/16/2021

B
Delaware 9/16/2021

B
New York 9/16/2021

B
District of Columbia 9/16/2021

B
North Carolina 9/16/2021

B
Florida 1/24/2005

B
North Dakota 9/16/2021

B
Georgia 9/16/2021

B
Ohio 9/17/2021

B
Hawaii 9/16/2021

B
Oklahoma 9/16/2021

B
Idaho 9/16/2021

B
Oregon 9/16/2021

B
Illinois 9/16/2021

B
Pennsylvania 9/16/2021

B
Indiana 9/16/2021

B
Rhode Island 9/16/2021

B
Iowa 9/16/2021

B
South Carolina 9/16/2021

B
Kansas 9/16/2021

B
South Dakota 9/16/2021

B
Kentucky 9/16/2021

B
Texas 9/16/2021

B
Louisiana 9/16/2021

IA
Texas 1/12/2023

B
Maine 9/16/2021

B
Utah 9/16/2021

B
Maryland 9/16/2021

B
Vermont 9/16/2021

B
Massachusetts 9/16/2021

B
Virginia 9/16/2021

B
Michigan 9/16/2021

B
Washington 9/16/2021

B
Minnesota 1/24/2005

B
West Virginia 9/16/2021

IA
Minnesota 1/31/2014

B
Wisconsin 9/16/2021

B
Mississippi 9/16/2021

B
Wyoming 9/16/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
400 1ST ST S STE 300, ST CLOUD, MN 56301
COLD SPRING, MN
Registered with this firm since 1/31/2014

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
400 1ST ST S STE 300, ST CLOUD, MN 56301
COLD SPRING, MN
Registered with this firm since 1/24/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/21/2016 - 07/30/2021 CETERA ADVISORS LLC (CRD#:10299) ST CLOUD, MN
B
01/21/2016 - 07/30/2021 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) ST CLOUD, MN
B
01/21/2016 - 07/30/2021 FIRST ALLIED SECURITIES, INC. (CRD#:32444) ST CLOUD, MN
B
10/09/2012 - 07/30/2021 CETERA ADVISOR NETWORKS LLC (CRD#:13572) ST CLOUD, MN
B
05/26/2016 - 12/03/2019 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) ST CLOUD, MN
IA
01/29/2014 - 01/31/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) ST. CLOUD, MN
B
01/24/2005 - 06/20/2007 GUARANTY BROKERAGE SERVICES, INC. (CRD#:23302) ST. CLOUD, MN
B
01/24/2005 - 12/31/2006 BANCNORTH INVESTMENT GROUP, INC. (CRD#:31299) ST. CLOUD, MN
B
12/13/2004 - 01/21/2005 AXA DISTRIBUTORS, LLC (CRD#:25900) CHARLOTTE, NC
B
08/02/2002 - 12/14/2004 GUARANTY BROKERAGE SERVICES, INC. (CRD#:23302) ST. CLOUD, MN
B
07/30/2001 - 12/14/2004 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) ST. CLOUD, MN
B
08/02/2002 - 11/14/2003 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) OMAHA, NE
B
04/20/2001 - 08/27/2001 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD#:16100) MINNEAPOLIS, MN
B
01/08/2001 - 08/27/2001 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
12/16/1998 - 01/11/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.