DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

DAVID JAMES JOHNSON

Advisor at CETERA INVESTMENT ADVISERS LLC

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5c011a93-983f-a9c4-2612-e7e1022b1f98

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Apr 12, 1993
First registration: Jul 30, 2003
Dual registered: yes, broker-dealer
Other names: DAVE JOHNSON|DAVID J JOHNSON
IAPD individual key: 2323779

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 10, 2023	n/a	yes	MINNEAPOLIS, MN	Current employment
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Dec 23, 2013	Aug 10, 2023	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|ST. PAUL, MN	Previous registration
CRI SECURITIES, LLC	Former SEC adviser	Jul 16, 2007	Oct 18, 2021	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Previous registration
MARATHON ADVISORS, INC	n/a	May 22, 2006	Dec 31, 2007	no	MINNEAPOLIS, MN	Previous registration
MARATHON ADVISORS, INC	n/a	Jul 30, 2003	Dec 31, 2005	no	MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SECURIAN FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
CRI SECURITIES, LLC	SECURIAN FINANCIAL SERVICES, INC.	Oct 18, 2021	Dec 23, 2013	-2,856	Bulk transfer	Other
MARATHON ADVISORS, INC	CRI SECURITIES, LLC	Dec 31, 2007	Jul 16, 2007	-168	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 23, 2013 to Aug 10, 2023factForm ADV
→ CRI SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 16, 2007 to Oct 18, 2021factForm ADV
→ MARATHON ADVISORS, INCRegistered adviserregistration: previous registration
May 22, 2006 to Dec 31, 2007factForm ADV

Dated events

No dated event names this entity yet.