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DA

David L. Adams

Some features on this profile are disabled
CRD#: 1348988
DA

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 Lee Adams was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1985. David had worked at 6 firms and has passed the Series 63, Series 22 and Series 6 exams.

top-8-questions

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.
The advisor shows no other business activity.

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

April 26, 2005 - September 9, 2014

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
ELKHART, IN
Past

January 1, 2004 - May 5, 2005

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

November 2, 1998 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

June 1, 1996 - November 3, 1998

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

August 5, 1994 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

BD
CRD#: 624
SIOUX FALLS, SD
Past

March 27, 1985 - August 3, 1994

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN

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
RR
Series 63
Date: 3/26/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 1/20/1989
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/26/1985
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RH
RESOURCE HORIZONS GROUP LLC
BENEFIT PLANNING ADVISORS, INC. | WEALTH ADVISORY SERVICES | SEQUOYAH PLANNING CORPORATION | RESOURCE HORIZONS GROUP, L.L.C. | RESOURCE HORIZONS GROUP LLC | GM FINANCIAL PLANNING INC. | DM FINANCIAL PLANNING | BENEFIT PLANNING OF CALIFORNIA | BENEFIT PLANNING INC.

CRD#: 104368 / SEC#: , 8-52830

BD
Terminated by SEC on 01/23/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RESOURCE HORIZONS HOLDING COMPANYSHAREHOLDER
FANNON, EILEEN MARIEFINOP, CFO4534618
MILLER, DAVID KEITHCOMPLIANCE OFFICER728491
MILLER, DAVID KEITHCEO/MUNICPAL SECURITIES PRINCIPAL728491
MILLER, KELLY STOLTEPRESIDENT/CROP/SROP1336841
TEDBALL, LAURA ANNECHIEF COMPLIANCE OFFICER4815741

Disclosures

Regulatory Event5
Arbitration3

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

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

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