David R. Mabie

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CRD#: 1366158

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 Rolland Mabie was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1985. David had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

November 9, 2007 - December 7, 2009

WEA FINANCIAL ADVISORS, INC.

RIA

CRD#: 144919

MADISON, WI

Past

May 19, 2003 - June 4, 2021

WEA INVESTMENT SERVICES, INC.

CRD#: 126907

MADISON, WI

Past

June 9, 1997 - May 27, 2003

WEA TAX SHELTERED ANNUITY TRUST

CRD#: 40981

MADISON, WI

Past

September 21, 1993 - June 6, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

July 13, 1990 - November 1, 1991

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

January 2, 1990 - July 13, 1990

BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION

CRD#: 17087

Past

May 3, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

May 3, 1985 - January 22, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

WEA FINANCIAL ADVISORS, INC.

WEA FINANCIAL ADVISERS, INC. | WEA FINANCIAL ADVISORS, INC.

CRD#: 144919 / SEC#: 801-118359

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

Wisconsin

Registered Investment Advisory firm - (4/7/2020 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: 5/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/20/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/30/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/1995

General Securities Principal Examination

Current Firm

WEA FINANCIAL ADVISORS, INC.

WEA FINANCIAL ADVISERS, INC. | WEA FINANCIAL ADVISORS, INC.

CRD#: 144919 / SEC#: 801-118359

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

Wisconsin

Registered Investment Advisory firm - (4/7/2020 Terminated)

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Contact information

Main Address

660 John Nolen Drive, Madison, WI 53713

Mailing Address

P.o. Box 7893, Madison, WI 53707-7893

Phone number

(800) 279-4030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEA ADV PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	620
AUM (Assets Under Management)	$ 554,283,162

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.

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Advisor Monitoring

Firm Stability Insights

David R. Mabie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEA INVESTMENT SERVICES, INC.

WEA TAX SHELTERED ANNUITY TRUST

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WEA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1985

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

Series 22

Date: 5/20/1985

Series 6

Date: 4/30/1985

Series 24

Date: 10/2/1995

Current Firm

WEA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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