David R. Gibbs

SUCCESSFUL WEALTH STRATEGIES

Farmington, CT 06032

Some features on this profile are disabled

CRD#: 1375737

Professional summary

David Robert Gibbs is a registered financial advisor currently at SUCCESSFUL WEALTH STRATEGIES, LLC located in Farmington, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

1. 6/4/2019 - Gibbs Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Owner - Started 06/01/1992 - 35 Hours Per Month During Securities Trading - Fixed Annuities and Non-Variable Insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Gibbs'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®

None

Experience

Current

November 11, 2021 - Present

SUCCESSFUL WEALTH STRATEGIES, LLC

Office #1: 2 Forest Park Dr., Unit 2, Farmington, CT 06032

RIA

CRD#: 286563

Farmington, CT

Past

November 29, 2017 - November 18, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

Farmington, CT

Past

November 29, 2017 - November 18, 2021

LPL FINANCIAL LLC

CRD#: 6413

Farmington, CT

Past

July 10, 2014 - December 5, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

Farmington, CT

Past

July 10, 2014 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

Farmington, CT

Past

August 24, 2007 - July 24, 2014

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

FARMINGTON, CT

Past

May 4, 1987 - July 24, 2014

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

FARMINGTON, CT

Past

December 27, 1985 - February 4, 1986

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

June 18, 1985 - May 8, 1987

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/11/2021)

IAR

Florida
(11/30/2021)

IAR

Massachusetts
(3/4/2022)

IAR

Pennsylvania
(11/11/2021)

IAR

Texas
(9/6/2022)

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

IAR

Series 65

Date: 8/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/1988

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: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/1993

General Securities Principal Examination

Current Firm

SUCCESSFUL WEALTH STRATEGIES, LLC

BURKE, CORRIN GIBBS | SWS | SUCCESSFUL WEALTH STRATEGIES, LLC | SUCCESSFUL WEALTH STRATEGIES | SUCCESSFUL WEALTH

CRD#: 286563 / SEC#:

Connecticut

Registered Investment Advisory firm - (3/13/2017 Approved)

Florida

Registered Investment Advisory firm - (8/25/2021 Approved)

Massachusetts

Registered Investment Advisory firm - (3/4/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (9/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/1/2021 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Canton, CT

Mailing Address

P.o. Box 242, Collinsville, CT 06022

Phone number

(860) 470-6238

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 43,642,911

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.

Similar Advisors

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David R. Gibbs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Gibbs's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

AETNA LIFE INSURANCE AND ANNUITY COMPANY

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/2007

Series 63

Date: 6/9/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Series 24

Date: 2/26/1993

Current Firm

SUCCESSFUL WEALTH STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SUCCESSFUL WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Similar Advisors