DH
DH
David Harding
29 Years of Experience
Framingham, MA
3 DisclosuresBrokerSells Insurance
David Harding is a registered investment advisor at Cetera Investment Advisers LLC, based in Framingham, MA, with 29 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
40 Speen Street, Suite 202, Framingham, MA, 01701
Get directionsHistory
Regulatory History (3)
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Customer Dispute
October 2012Denied
Customer Dispute
September 2006Denied
Criminal
December 2000Final Disposition
Other Business ActivitiesSells Insurance
David is involved in investment and insurance sales through Northeast Investment Advisors. He spends nearly full-time hours per month on fixed insurance activities, with about a quarter of his time during trading hours.
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Advisors LLCBroker
October 2016 - Present · 9 yrs 7 mos
Previous Registrations
Cetera Advisors LLC
October 2016 - March 2024 · 7 yrs 5 mos
Investors Capital Advisory
August 2009 - October 2016 · 7 yrs 2 mos
Investors Capital CORP.Broker
August 2009 - October 2016 · 7 yrs 2 mos
Next Financial Group, INC.
August 2009 - August 2009 · 0 mos
Next Financial Group, INC.Broker
August 2009 - August 2009 · 0 mos
B.B. Graham & Company, INC.
October 2007 - August 2009 · 1 yr 10 mos
B.B. Graham & Company, INC.Broker
September 2007 - August 2009 · 1 yr 11 mos
First Midamerica Investment Corporation
September 2005 - September 2007 · 2 yrs
First Midamerica Investment CorporationBroker
August 2005 - September 2007 · 2 yrs 1 mo
Banc of America Investment Services, INC.
October 2004 - August 2005 · 10 mos
Banc of America Investment Services, INC.Broker
October 2004 - August 2005 · 10 mos
Quick & Reilly, INC.
September 2002 - October 2004 · 2 yrs 1 mo
Quick & Reilly, INC.Broker
September 2000 - October 2004 · 4 yrs 1 mo
Bankboston Investor Services, INC.Broker
March 2000 - September 2000 · 6 mos
Nylife Securities INC.Broker
March 1997 - May 2000 · 3 yrs 2 mos
State Registrations9 states
CTFLGAMAMENCNHRISC
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.