David A. Giles

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CRD#: 1150930

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Allen Giles, who also goes by David A Giles, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1983. David had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David A Giles

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.

PRESIDENT, DIRECTOR, EMPLOYEE OF THE GILES FINANCIAL GROUP; 16 COMMERCE DRIVE, WYOMISSING, PA 19610; FIXED INSURANCE SALES (LIFE & HEALTH) SINCE 2004; NOT INVESTMENT RELATED; 40 HOURS PER MONTH, 0-7 DURING TRADING HOURS; CLIENT INVOLVEMENT-SALES ARE MADE TO CLIENTS, SOME ARE ALSO INVESTMENT CLIENTS; SALES & ADVISORY SERVICE; COMPENSATION-COMMISSIONS FROM INSURANCE COMPANIES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 17, 2010 - December 31, 2024

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

Wyomissing, PA

Past

December 1, 2010 - December 31, 2024

VALMARK SECURITIES, INC.

CRD#: 31243

WYOMISSING, PA

Past

March 31, 2009 - December 2, 2010

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

WYOMISSING, PA

Past

June 13, 2002 - December 2, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

WYOMISSING, PA

Past

June 20, 2000 - July 17, 2002

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

WYOMISSING, PA

Past

July 27, 1987 - June 25, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

August 9, 1983 - August 19, 1987

GENERAL AMERICAN LIFE INSURANCE COMPANY

CRD#: 3963

Past

June 19, 1983 - September 9, 1987

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 10/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/15/1980

Registered Representative Examination

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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.

Contact information

xxxxx@xxxx.xxx

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David A. Giles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALMARK SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

GENERAL AMERICAN LIFE INSURANCE COMPANY

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/1987

SIE

Date: 10/1/2018

Series 1

Date: 7/15/1980

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

Contact information

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