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
Nicole AnnMarie David
Nicole A David
CRD#: 7154205
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2009 East 10th Ave
Milan, IL 61264
CETERA INVESTMENT SERVICES LLCCRD#: 15340 2009 E.10TH AVENUE
MILAN, IL 61264
Registration History
20192020202120222023202420252026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (5 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2019 - Present (5 years)
License(s)

State Registrations

B
Arizona 8/16/2021
B
Iowa 5/6/2020
B
Arkansas 8/16/2022
B
Kansas 8/16/2021
B
California 8/16/2021
B
Michigan 1/2/2025
B
Florida 8/16/2021
B
Missouri 4/22/2021
B
Illinois 3/10/2020
B
Oregon 9/25/2024
IA
Illinois 3/10/2020
B
Texas 9/25/2024
B
Indiana 8/19/2022
IA
Texas 9/26/2024

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)
2009 East 10th Ave, Milan, IL 61264
4413 53rd Ave, BETTENDORF, IA 52722
Registered with this firm since 3/10/2020
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
2009 E.10TH AVENUE, MILAN, IL 61264
4413 53rd Ave, Bettendorf, IA 52722
Registered with this firm since 10/25/2019
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.