DB
David A. Burgess
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CRD#: 1306472
DB
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 Burgess was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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. INDEPENDENT CONTRACTOR REGISTERED REPRESENTATIVE OF RHODES SECURITIES, INC. A BROKER DEALER LOCATED AT 306 WEST 7TH STREET, SUITE 1000, FORT WORTH, TX 76102, SINCE JULY 1995 2.2. DBA BURGESS INVESTMENTS, LLC, LOCATED AT 306 WEST 7TH STREET, SUITE 1000, FORT WORTH, TX 76102. 3.INSURANCE AGENT REPRESENTING SEVERAL COMPANIES - 6/2002 TO PRESENT, OCCASIONAL ACTIVITY.
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®
NoneExperience
Past
May 24, 2007 - November 15, 2022
RHODES INVESTMENT ADVISORS, INC.
RIA
CRD#: 114245
FORT WORTH, TX
Past
December 2, 2002 - March 30, 2011
SEVENTH STREET PARTNERS GP LLC
RIA
CRD#: 121659
FORT WORTH, TX
Past
July 3, 1995 - November 15, 2022
RHODES SECURITIES, INC.
BD
CRD#: 19610
FORT WORTH, TX
Past
December 3, 1990 - July 3, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
November 17, 1986 - December 7, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 26, 1984 - November 25, 1986
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
RI
RHODES INVESTMENT ADVISORS, INC.
CRAIG S. WADE DBA CRAIG S. WADE FINACIAL SERVICES | WHIT WHITFIELD, DBA FE WHITFIELD INVESTMENTS AND INSURANCE | TRICIA CARTER-HABER DBA HABER WEALTH MANAGEMENT | SUSAN PARIS, DBA PARIS FINANCIAL SERVICES | ROBERT L. RICHERSON, III DBA RICHERSON CAPITAL MANAGEMENT PLLC | RHODES SECURITIES, INC. | RHODES INVESTMENT ADVISORS, INC. | PREFERRED FINANCIAL SERVICES, INC. | JOHN RUSH VANN, JR., DBA JOHN RUSH VANN, JR. INVESTMENT MANAGEMENT | JEAN S. FRIE, DBA FRIE FINANCIAL GROUP, INC. | JAMES D. PALMER, DBA PALMER RETIREMENT CONSULTANTS | HARRISON S. REED III, DBA REED INVESTMENTS | GUY M. CUMBIE, DBA CUMBIE ADVISORY SERVICES, INC. | DAVID A. BURGESS DBA BURGESS FINANCIAL
CRD#: 114245 / SEC#: 801-117510
RIA
Registered Investment Advisory firm - (10/18/2019 Approved)Kansas
Registered Investment Advisory firm - (11/5/2020 Terminated)Louisiana
Registered Investment Advisory firm - (11/6/2020 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2020 Terminated)Oklahoma
Registered Investment Advisory firm - (1/22/2021 Terminated)South Carolina
Registered Investment Advisory firm - (11/5/2020 Terminated)Texas
Registered Investment Advisory firm - (11/5/2020 Terminated)Washington
Registered Investment Advisory firm - (12/31/2012 Terminated)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
RHODES INVESTMENT ADVISORS, INC.
CRAIG S. WADE DBA CRAIG S. WADE FINACIAL SERVICES | WHIT WHITFIELD, DBA FE WHITFIELD INVESTMENTS AND INSURANCE | TRICIA CARTER-HABER DBA HABER WEALTH MANAGEMENT | SUSAN PARIS, DBA PARIS FINANCIAL SERVICES | ROBERT L. RICHERSON, III DBA RICHERSON CAPITAL MANAGEMENT PLLC | RHODES SECURITIES, INC. | RHODES INVESTMENT ADVISORS, INC. | PREFERRED FINANCIAL SERVICES, INC. | JOHN RUSH VANN, JR., DBA JOHN RUSH VANN, JR. INVESTMENT MANAGEMENT | JEAN S. FRIE, DBA FRIE FINANCIAL GROUP, INC. | JAMES D. PALMER, DBA PALMER RETIREMENT CONSULTANTS | HARRISON S. REED III, DBA REED INVESTMENTS | GUY M. CUMBIE, DBA CUMBIE ADVISORY SERVICES, INC. | DAVID A. BURGESS DBA BURGESS FINANCIAL
CRD#: 114245 / SEC#: 801-117510
RIA
Registered Investment Advisory firm - (10/18/2019 Approved)Kansas
Registered Investment Advisory firm - (11/5/2020 Terminated)Louisiana
Registered Investment Advisory firm - (11/6/2020 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2020 Terminated)Oklahoma
Registered Investment Advisory firm - (1/22/2021 Terminated)South Carolina
Registered Investment Advisory firm - (11/5/2020 Terminated)Texas
Registered Investment Advisory firm - (11/5/2020 Terminated)Washington
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
306 West 7th Street Suite 1000, Fort Worth, TX 76012
Mailing Address
Phone number
(817) 334-0455
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 815 |
| AUM (Assets Under Management) | $ 376,312,618 |
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.
