As a Compliance Supervisor, David assists advisors in running compliant practices with a compassion focused on business, coaching and teamwork. In mid-2000, he began supervising as an OSJ and over the years has provided compliance and operational support to independent, full service and institutional advisors and staff. A Sacramento resident, David enjoys the outdoors, spending time with his grandchildren and traveling.
- Bachelor of Science in Business/Finance, University of Phoenix
- Securities registrations Series 7, 66, 24, 9 & 10 held through Strategic Wealth Advisors Group, and LPL Financial.
- FINRA Series 7: General Securities Examination
- FINRA Series 66: NASAA Uniform Combined State Law Examination
- FINRA Series 24: General Securities Principal Qualification Examination
- FINRA Series 9: General Securities Sales Supervisor – Options Exam
- FINRA Series 10: General Securities Sales Supervisor – General Exam
- California Life, Health and Variable License #0D58485