DC
David S. Coles
FARTHER
Irvine, CA 92618
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CRD#: 1143362
DC
Professional summary
David Scott Coles, who also goes by Scott Coles, is a registered financial advisor currently at FARTHER located in Irvine, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. David has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Coles
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)COLWIN FINANCIAL INSURANCE SERVICES;INVESTMENT RELATED;23201 LAKE CENTER DRIVE,#214,LAKE FOREST,CA 92630;SELLING FIXED INSURANCE PRODUCTS & RECEIVE RIA FEES;OWNER/PRESIDENT;6/1/1983;160 HRS/MONTH;6.5 HRS DURING TRADING;FIND CLIENTS & SERVICE CLIENTS,PROVIDE RECOMMENDATION OF INVESTMENTS AND INSURANCE 2)SCOTT COLES;NOT INVESTMENT RELATED;23201 LAKE CENTER DR,STE 214,LAKE FOREST,CA;BUSINESS MANAGEMENT;BUSINESS MANAGER FOR ACTOR/DIRECTOR;1/5/1999;5-8 HRS/MONTH;1-2 HRS DURING TRADING;REVIEW OF CONTRACTS,MONITOR PENSIONS & UNION RELATIONS,PAY BILLS,COORDINATE WITH ATTORNEYS,ACCOUNTANTS,& OTHER PROFESSIONALS 3)Bank of Internet;investment related;4350 La Jolla Village Dr,Suite 140,San Diego,CA 92122;banking products;advisor;2011;3-4 hrs/month;15 minutes during trading;advise clients on money market accounts and aid in the set-up and funding of these accounts(qualified & non-qualified) related to money management activity for these clients 4)Human Wealth;Investment related: no; 2 Venture, Ste 380, Irvine, CA 92618; Nature or Structure of Business: S Corporation; Position: Founder Owner; Start date: 6/2020; hours per month: 50; securities trading hours 50; Duties: Human Wealth is a 4 step financial planning process aligning clients wellbeing to their financial resources and goals
CRS (Client Relationship Summary) - RIA
Click below to view David Scott Coles'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
December 20, 2024 - Present
FARTHER
Office #1: 2 Venture Suite 380, Irvine, CA 92618RIA
CRD#: 302050
Irvine, CA
Past
August 23, 2024 - January 17, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Irvine, CA
Past
July 16, 2015 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Irvine, CA
Past
February 27, 2015 - March 22, 2025
WMBC
RIA
CRD#: 124462
IRVINE, CA
Past
January 24, 2003 - December 31, 2014
WMBC
RIA
CRD#: 124462
LAKE FOREST, CA
Past
January 2, 2003 - July 15, 2015
VALMARK SECURITIES, INC.
BD
CRD#: 31243
LAKE FOREST, CA
Past
June 21, 1995 - December 31, 2002
FMN CAPITAL CORPORATION
BD
CRD#: 38105
MISSION VIEJO, CA
Past
March 1, 1991 - June 14, 1995
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 21, 1989 - February 26, 1991
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
June 22, 1983 - March 1, 1989
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
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".
FA
FARTHER
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC
CRD#: 302050 / SEC#: 801-116721
RIA
Registered Investment Advisory firm - (7/19/2019 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.Highlighted states indicate IAR registrations
IAR
California(12/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FA
FARTHER
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC
CRD#: 302050 / SEC#: 801-116721
RIA
Registered Investment Advisory firm - (7/19/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
345 California Street Suite 600, San Francisco, CA 94104
Mailing Address
Phone number
(628) 246-8004
Established
Firm type
Fiscal year end
# of Employees
275
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,245 |
| AUM (Assets Under Management) | $ 7,523,810,877 |
Red Flags
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