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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

DAVID WAYNE HAWKINS

Advisor at CETERA INVESTMENT ADVISERS LLC

ANNAPOLIS, MD

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Search this name across graphsid dfx:ria:660b3c47-1cfe-519b-52a2-2fcdd8c62bcb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 5, 2015 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: Nov 1, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: May 20, 2013
First registration: May 5, 2015
Dual registered: yes, broker-dealer
Other names: DAVID WAYNE HAWKINS|DAVID WAYNE HAWKINS|David W Hawkins
IAPD individual key: 6151441

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	Dec 23, 2025	n/a	yes	ANNAPOLIS, MD	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jul 12, 2023	Dec 31, 2025	no	Rockville, MD\|Washington, DC\|Upper Marlboro, MD	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Apr 19, 2018	Feb 18, 2022	no	POTOMAC, MD\|Silver Spring, MD	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 5, 2015	Mar 6, 2018	no	COLUMBIA, MD\|WASHINGTON, DC\|MCLEAN, VA\|MCLEAN, VA\|SILVER SPRING, MD\|COLUMBIA, MD	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
MML INVESTORS SERVICES, LLC	CETERA INVESTMENT ADVISERS LLC	Dec 31, 2025	Dec 23, 2025	-8	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	MML INVESTORS SERVICES, LLC	Feb 18, 2022	Jul 12, 2023	509	Firm change after gap	Ibd to ibd
WELLS FARGO ADVISORS	HSBC SECURITIES (USA) INC.	Mar 6, 2018	Apr 19, 2018	44	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Dec 23, 2025 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jul 12, 2023 to Dec 31, 2025factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Apr 19, 2018 to Feb 18, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 5, 2015 to Mar 6, 2018factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
David Wayne Hawkins left Mml Investors Services, Llc for Cetera Investment Advisers Llc (registered 2025-12-23)
Form ADVobserved 6 days ago
Occurred
Feb 18, 2022
Advisor changed firm
David Wayne Hawkins left Hsbc Securities (Usa) Inc. for Mml Investors Services, Llc (registered 2023-07-12)
Form ADVobserved 6 days ago