DC
David M. Cass
TLG ADVISORS
Minneapolis, MN 55416
Some features on this profile are disabled
CRD#: 1069618
DC
Professional summary
David Michael Cass, who also goes by Dave Cass, David Michael Cass Mr, is a registered financial advisor currently at TLG ADVISORS, INC. located in Minneapolis, Minnesota and THE LEADERS GROUP, INC. located in Minneapolis, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. David has worked at 16 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Cass | David Michael Cass Mr
Other business activities
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.
1.) ALLIANZ LIFE - 3/7/2022 - 5701 Golden Hills Drive, Minneapolis, MN 55416-1297 - VP, Head of RIA Concierge Desk, Head of sales unit, Not Invt Rel, Insurance business, 5 hrs/mo; 20 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 4/14/2022 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR, Invt Rep, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Cass's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 14, 2022 - Present
TLG ADVISORS, INC.
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416RIA
CRD#: 111052
Minneapolis, MN
Current
April 14, 2022 - Present
THE LEADERS GROUP, INC.
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416BD
CRD#: 37157
Minneapolis, MN
Past
July 1, 2020 - April 6, 2022
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
COHOES, NY
Past
July 1, 2020 - April 6, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
November 1, 2017 - July 1, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
IRVING, TX
Past
January 13, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
November 12, 2015 - April 6, 2022
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
IRVING, TX
Past
January 22, 2008 - December 31, 2015
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
April 16, 2007 - July 12, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
DUBLIN, OH
Past
March 23, 2007 - July 12, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
DUBLIN, OH
Past
June 16, 2005 - January 3, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
October 23, 2002 - June 22, 2005
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
June 5, 2002 - November 18, 2002
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
November 3, 2000 - July 13, 2001
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
June 3, 1999 - September 20, 2000
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 27, 1997 - December 22, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 21, 1994 - May 27, 1997
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
January 1, 1990 - March 21, 1994
METLIFE INVESTORS SALES COMPANY
BD
CRD#: 15950
OAKBROOK TERRACE, IL
Past
October 20, 1982 - July 19, 1988
EDWARD JONES
BD
CRD#: 250
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/28/2022)
RR
Alaska(4/28/2022)
RR
Arizona(4/28/2022)
RR
Arkansas(4/28/2022)
RR
California(4/28/2022)
RR
Colorado(4/28/2022)
RR
Connecticut(4/28/2022)
RR
Delaware(4/28/2022)
RR
District of Columbia(4/28/2022)
RR
Florida(4/28/2022)
RR
Georgia(4/28/2022)
RR
Hawaii(4/28/2022)
RR
Idaho(4/28/2022)
RR
Illinois(4/28/2022)
RR
Indiana(4/28/2022)
RR
Iowa(4/28/2022)
RR
Kansas(4/28/2022)
RR
Kentucky(4/28/2022)
RR
Louisiana(4/28/2022)
RR
Maine(4/28/2022)
RR
Maryland(4/28/2022)
RR
Massachusetts(4/28/2022)
RR
Michigan(4/28/2022)
RR
Minnesota(4/14/2022)
IAR
Minnesota(4/14/2022)
RR
Mississippi(4/28/2022)
RR
Missouri(4/28/2022)
RR
Montana(4/28/2022)
RR
Nebraska(4/28/2022)
RR
Nevada(4/28/2022)
RR
New Hampshire(4/28/2022)
RR
New Jersey(4/28/2022)
RR
New Mexico(4/28/2022)
RR
New York(4/28/2022)
RR
North Carolina(4/28/2022)
RR
North Dakota(4/28/2022)
RR
Ohio(4/14/2022)
RR
Oklahoma(4/28/2022)
RR
Oregon(4/28/2022)
RR
Pennsylvania(4/28/2022)
RR
Puerto Rico(4/28/2022)
RR
Rhode Island(4/28/2022)
RR
South Carolina(4/28/2022)
RR
South Dakota(4/28/2022)
RR
Tennessee(4/28/2022)
RR
Texas(4/28/2022)
RR
Utah(4/28/2022)
RR
Vermont(4/28/2022)
RR
Virginia(4/28/2022)
RR
Washington(4/28/2022)
RR
West Virginia(4/28/2022)
RR
Wisconsin(4/28/2022)
RR
Wyoming(4/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
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.
