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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

DAVID LLOYD BEISWANGER

Advisor at CETERA INVESTMENT ADVISERS LLC

CINCINNATI, OH

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Search this name across graphsid dfx:ria:fadffdb4-d31c-98f1-299e-0d6ffefeb531

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 20, 2004 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 27, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Nov 27, 2001
First registration: Jul 20, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4446451

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	Jun 29, 2023	n/a	yes	CINCINNATI, OH	Current employment
STONEX ADVISORS INC.	Bd affiliated wealth	Jan 30, 2015	Jul 22, 2016	no	BIRMINGHAM, AL	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Feb 24, 2005	Jan 30, 2015	no	CINCINNATI, OH\|CINCINNATTI, OH\|YOUNGSTOWN, OH	Previous registration
TOWER SQUARE SECURITIES, INC.	Former SEC adviser	Jul 20, 2004	Mar 4, 2005	no	CINCINNATI, OH	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
STONEX ADVISORS INC.	CETERA INVESTMENT ADVISERS LLC	Jul 22, 2016	Jun 29, 2023	2,533	Firm change after gap	Other
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	STONEX ADVISORS INC.	Jan 30, 2015	Jan 30, 2015	0	Bulk transfer	Other
TOWER SQUARE SECURITIES, INC.	STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Mar 4, 2005	Feb 24, 2005	-8	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Jan 30, 2015 to Jul 22, 2016factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Feb 24, 2005 to Jan 30, 2015factForm ADV
→ TOWER SQUARE SECURITIES, INC.Registered adviserregistration: previous registration
Jul 20, 2004 to Mar 4, 2005factForm ADV

Dated events

No dated event names this entity yet.