DM
DM
David Moffatt
10 Years of Experience
Palm Harbor, FL
Broker
David Moffatt is a registered investment advisor at Cetera Investment Advisers LLC, based in Palm Harbor, FL, with 10 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
Palm Harbor, FL
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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
March 2024 - Present · 2 yrs 4 mos
Cetera Advisors LLC
January 2022 - Present · 4 yrs 6 mos
Cetera Financial Specialists LLC
January 2022 - Present · 4 yrs 6 mos
Cetera Wealth Services, LLC
January 2022 - Present · 4 yrs 6 mos
Cetera Investment Services LLC
January 2022 - Present · 4 yrs 6 mos
Cetera Advisors LLCBroker
January 2022 - Present · 4 yrs 6 mos
Cetera Financial Specialists LLCBroker
January 2022 - Present · 4 yrs 6 mos
Cetera Wealth Services, LLCBroker
January 2022 - Present · 4 yrs 6 mos
Cetera Investment Services LLCBroker
January 2022 - Present · 4 yrs 6 mos
Previous Registrations
First Allied Securities, INC.Broker
January 2022 - September 2022 · 8 mos
Raymond James & Associates, INC.Broker
January 2016 - January 2022 · 6 yrs
State Registrations2 states
FLIN
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.