DG
David H. Grubbs
FORTRESS PRIVATE LEDGER
Raleigh, NC 27612
Some features on this profile are disabled
CRD#: 1113405
DG
Professional summary
David Harold Grubbs, CFP®, who also goes by Dave Grubbs, is a registered financial advisor currently at FORTRESS PRIVATE LEDGER, LLC located in Raleigh, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 9 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7, Series 5, Series 24, Series 4 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Grubbs
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. 05/06/2010 - CPA/BOOKKEEPER/TAX PREPARER - 5% TIME SPENT- BASIC TAX PREP, BOOKEEPING, AND ACCOUNTING 2. 05/06/2010 - OTHER - 1% TIME SPENT - FINRA ARBITRATOR 3. FORTRESS FINANCIAL PARTNERS, FORTRESS INVESTMENT MANAGEMENT, AND FORTRESS RETIREMENT PLAN ADVISORS ARE DBA'S USED FOR BUSINESS CONDUCTED BY FORTRESS PRIVATE LEDGER, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view David Harold Grubbs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Harold Grubbs'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®
Experience
Current
January 26, 2022 - Present
FORTRESS PRIVATE LEDGER, LLC
Office #1: 3110 Edwards Mill Rd Suite 200, Raleigh, NC 27612Office #2: 3110 Edwards Mill Rd Ste 200, Raleigh, NC 27612Office #3: 3110 Edwards Mill Rd Suite 200, Raleigh, NC 27612RIA
BD
CRD#: 290298
Raleigh, NC
Current
January 13, 2022 - Present
FORTRESS PRIVATE LEDGER, LLC
Office #1: 3110 Edwards Mill Rd Suite 200, Raleigh, NC 27612Office #2: 3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612Office #3: 3110 Edwards Mill Rd Ste 200, Raleigh, NC 27612RIA
BD
CRD#: 290298
Raleigh, NC
Past
May 18, 2010 - January 25, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
RALEIGH, NC
Past
May 18, 2010 - January 25, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
RALEIGH, NC
Past
November 26, 2007 - April 27, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
RALEIGH, NC
Past
October 19, 2007 - April 27, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
RALEIGH, NC
Past
May 23, 2007 - October 17, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
RALEIGH, NC
Past
May 22, 2007 - October 17, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
February 28, 2005 - October 20, 2006
OSAIC FA, INC.
RIA
CRD#: 3978
RALEIGH, NC
Past
February 23, 2005 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
February 23, 2005 - October 20, 2006
OSAIC FA, INC.
BD
CRD#: 3978
RALEIGH, NC
Past
December 31, 2001 - April 14, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RALEIGH, NC
Past
February 27, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 27, 1997 - April 14, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
August 25, 1986 - January 5, 1988
PRIMUS FINANCIAL SERVICES, INC.
BD
CRD#: 677
Past
June 22, 1983 - March 11, 1985
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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".
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
North Carolina(1/25/2022)
IAR
North Carolina(1/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/4/1983
Interest Rate Options ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3110 Edwards Mill Rd, Ste 200 Suite 200, Raleigh, NC 27612
Mailing Address
3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612
Phone number
(919) 322-2762
Established
North Carolina since 11/17/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
26
SEC notice filing (19 States and Territories)
FINRA licenses (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,115 |
| AUM (Assets Under Management) | $ 346,106,253 |
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.
Company Information
FORTRESS PRIVATE LEDGER, LLC
CRD#: 290298Raleigh, NC 27612TRUST BUT VERIFY
Monitor David Grubbs
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
