Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DAVID PAUL HRICISAK II
CRD#: 4969151
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1029 WASHINGTON PIKE
BRIDGEVILLE, PA 15017
CETERA INVESTMENT SERVICES LLCCRD#: 15340 4220 WILLIAM PENN HIGHWAY
MONROEVILLE, PA 15146
Registration History
200620082010201220142016201820202022202420262 FIRMS2014 - Present (11 years)BLPL FINANCIAL LLC (CRD# 6413)2006 - 2014 (7 years)BWADDELL & REED, INC. (CRD# 866)2005 - 2006 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Arizona 10/20/2023
B
Ohio 2/11/2014
B
Colorado 12/4/2023
B
Pennsylvania 2/12/2014
B
Florida 2/11/2014
IA
Pennsylvania 2/12/2014
B
Indiana 3/20/2014
B
South Carolina 11/28/2014
B
Michigan 3/5/2025
B
Texas 12/8/2022
B
Nevada 3/5/2014
IA
Texas 12/13/2022
B
New York 3/31/2021
B
Virginia 10/17/2017
B
North Carolina 5/15/2015
B
West Virginia 2/11/2014

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)
1029 WASHINGTON PIKE, BRIDGEVILLE, PA 15017
CANONSBURG, PA
Registered with this firm since 2/12/2014
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
4220 WILLIAM PENN HIGHWAY, MONROEVILLE, PA 15146
1029 WASHINGTON PIKE, BRIDGEVILLE, PA 15017
Registered with this firm since 2/11/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/31/2014 - 02/12/2014 LPL FINANCIAL LLC (CRD#:6413) MONROEVILLE, PA
B
 09/12/2006 - 02/12/2014 LPL FINANCIAL LLC (CRD#:6413) MONROEVILLE, PA
B
 06/22/2005 - 08/02/2006 WADDELL & REED, INC. (CRD#:866) MONROEVILLE, PA
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.