DM
DM
David Meek
27 Years of Experience
Warren, RI
2 DisclosuresBrokerSells Insurance
David Meek is a registered investment advisor at Cetera Investment Advisers LLC, based in Warren, RI, with 27 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
Loading...
Location
Warren, RI
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
January 2018Customer Dispute
August 2014Denied
Other Business ActivitiesSells Insurance
David operates under the DBA Northeast Investment Advisors for insurance and financial services, dedicating full-time hours to this. He also works as an insurance agent selling life, annuities, and long-term care, spending minimal time on this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Advisors LLC
March 2018 - Present · 8 yrs 2 mos
Cetera Advisors LLCBroker
March 2018 - Present · 8 yrs 2 mos
Previous Registrations
Cetera Advisors LLC
March 2018 - March 2024 · 6 yrs
Citizens Securities, INC.Broker
September 2009 - February 2018 · 8 yrs 5 mos
Citizens Securities, INC.
September 2009 - February 2018 · 8 yrs 5 mos
LPL Financial Corporation
May 2008 - August 2009 · 1 yr 3 mos
LPL Financial CorporationBroker
May 2008 - August 2009 · 1 yr 3 mos
Ifmg Securities, INC.
November 2002 - May 2008 · 5 yrs 6 mos
Ifmg Securities, INC.Broker
May 2000 - May 2008 · 8 yrs
New England SecuritiesBroker
July 1998 - May 2000 · 1 yr 10 mos
State Registrations4 states
FLGAMARI
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.