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David Finn is a registered investment advisor at Cetera Investment Advisers LLC, based in Urbandale, IA, with 30 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Urbandale, IA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 3 mos
Cetera Wealth Services, LLCBroker
June 2021 - Present · 5 yrs 3 mos
Previous Registrations
Cetera Advisor Networks LLC
June 2021 - June 2023 · 2 yrs
Voya Financial Advisors, INC.
October 2014 - June 2021 · 6 yrs 8 mos
Voya Financial Advisors, INC.Broker
January 2007 - June 2021 · 14 yrs 5 mos
Directed Services LLCBroker
November 2004 - January 2007 · 2 yrs 2 mos
Princor Financial Services Corporation
January 2000 - October 2004 · 4 yrs 9 mos
Princor Financial Services CorporationBroker
October 1995 - October 2004 · 9 yrs
State Registrations15 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.