DM
David A. Marcus
KESTRA ADVISORY SERVICES
DEERFIELD, IL 60015
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CRD#: 1349286
DM
Professional summary
David Allan Marcus, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Deerfield, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Deerfield, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: David A Marcus & Assoc. Inc. Investment Related: Yes Address: 570 lake cook rd ste115 deerfield IL 60015 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Other Back Office Operations Position, Title or Relationship: Owner, President Start Date: 8/15/1981 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: running the company, marketing, sales, everything Business Name: Deerfield Financial Group LLC Investment Related: No Address: 570 Lake Cook Rd Suite 115 Deerfield IL 60015 Nature of Business: Insurance Position, Title or Relationship: 1099 producer/ broker Start Date: 4/19/2003 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: service and selling benefits Business Name: Greg Terman Insurance Trusts Investment Related: No Address: 570 Lake Cook Rd., Suite 115 Deerfield IL 60015 Nature of Business: Other Other/None of the Above trustee that makes sure payments are made on all policies Position, Title or Relationship: Other,I am the trustee of both trusts Start Date: 3/15/2001 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: policy is paid and doesn't lapse Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: david a marcus Investment Related: No Address: 570 lake cook rd ste 115 deerfield IL 60015 Nature of Business: Insurance Position, Title or Relationship: owner and i'm brokering the sale Start Date: 4/25/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: bidding the policy with several settlement co's Business Name: NFP. POSITION: employee/ Register representative NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 08/15/1981 ADDRESS: 570 lake cook rd ste115, deerfield IL 60015 DESCRIPTION: running the company, marketing, sales, everything
CRS (Client Relationship Summary) - RIA
Click below to view David Allan Marcus'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®
CFP®
Start date: 1989
Experience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 570 Lake Cook Rd, Suite 115, Deerfield, IL 60015Office #2: 8777 North Gainey Center Drive, Suite 260, Scottsdale, AZ 85258RIA
CRD#: 283330
DEERFIELD, IL
Current
August 28, 2008 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 570 Lake Cook Rd Suite 115, Deerfield, IL 60015BD
CRD#: 42046
Deerfield, IL
Past
August 28, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DEERFIELD, IL
Past
January 14, 2005 - August 27, 2008
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
DEERFIELD, IL
Past
January 14, 2005 - August 27, 2008
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
DEERFIELD, IL
Past
May 21, 2003 - January 18, 2005
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
DEERFIELD, IL
Past
September 21, 1987 - January 18, 2005
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 20, 1985 - September 22, 1987
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Arizona(8/28/2008)
IAR
Arizona(4/15/2025)
RR
California(8/28/2008)
RR
Colorado(8/28/2008)
RR
District of Columbia(10/29/2025)
RR
Florida(1/7/2009)
RR
Georgia(10/15/2013)
RR
Illinois(8/28/2008)
IAR
Illinois(4/21/2016)
RR
Indiana(9/2/2008)
RR
Iowa(2/8/2022)
RR
Louisiana(1/6/2014)
RR
Massachusetts(4/5/2012)
RR
Michigan(8/28/2008)
RR
Minnesota(4/20/2020)
RR
Mississippi(3/25/2009)
RR
Missouri(7/9/2015)
RR
Nevada(7/16/2014)
RR
New Jersey(8/28/2008)
RR
New Mexico(12/3/2012)
RR
New York(3/19/2013)
RR
North Carolina(12/14/2016)
RR
Ohio(11/12/2008)
RR
Oregon(5/12/2022)
RR
Pennsylvania(9/24/2020)
RR
South Carolina(6/10/2025)
RR
Tennessee(5/6/2025)
RR
Texas(1/13/2009)
IAR
Texas(10/9/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(8/28/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
