David Warren Latko
Professional Summary
David Warren Latko, who also goes by Dave Latko, is a registered financial advisor currently at LATKO WEALTH MANAGEMENT, LTD. located in Frankfort, Illinois and LPL FINANCIAL LLC located in Frankfort, Illinois. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Latko
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LATKO WEALTH MANAGEMENT | LATKO WEALTH MANAGEMENT, LTD.
Contact Information
Main Address
45 East Colorado Avenue, Frankfort, IL 60423Phone Number
(815) 469-8887# of Employees
7SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,134AUM (Assets Under Management)
$327,160,399Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
LATKO WEALTH MANAGEMENT | LATKO WEALTH MANAGEMENT, LTD.
State Registrations and Notice Filings
(1/7/1999)
(4/21/2004)
(3/17/2017)
(11/3/1989)
(1/11/1999)
(11/3/1989)
(3/23/2016)
(11/3/1989)
(12/4/2014)
(11/7/2008)
(7/21/2008)
(5/23/2006)
(9/10/1998)
(5/19/2011)
(4/26/2005)
(6/17/2021)
(11/3/1989)
(3/18/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1986Series 15 — Foreign Currency Options Examination
Passed Sep 1986Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1983SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Warren Latko's CRS (Customer Relationship Summary).
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