David G. Spence

PALLADIUM WEALTH MANAGEMENT

Burke, VA

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CRD#: 1384896

Professional summary

David George Spence, CFP® is a registered financial advisor currently at PALLADIUM WEALTH MANAGEMENT, LLC located in Burke, Virginia and PURSHE KAPLAN STERLING INVESTMENTS located in Burke, Virginia.

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 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 26 exams.

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) Palladium Wealth Management, LLC. Not Investment Related. See Registered Branch Office Location. Life and Health Insurance Sales. Owner/Agent. Start 1/2004. 100 hours per month during trading. Insurance sales and service. 2) FIG Marketing-Investment related-19520 West Catawba Ave, #200, Cornelius, NC 20831-Fixed Annuities & Insurance FMO-Broker-12/1/2019-100 hrs/mth-80 during trading hrs-Broker sales of fixed insurance and annuities. No securities related business. No an RIA affiliation. 3) Insurance Business. Not Investment Related. 80 State Street, Albany NY 12207. Insurance Sales. Agent. Start 1/2019. 10 hours per month during trading. 4) Tax Free Tutors Not investment related 10621 Battalion Landing Ct Burke VA 22015. Educational Video Course Sales. Owner/CEO. 10 hours during trading. Prepare & Update Educational videos on taxes, debt, fixed life insurance) and promote the purchase vai social media.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David George Spence'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^®

Certified Financial Planner

Experience

Current

January 8, 2020 - Present

PALLADIUM WEALTH MANAGEMENT, LLC

RIA

CRD#: 306689

Burke, VA

Current

January 2, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 10621 Battalion Landing Ct., Burke, VA 22015

CRD#: 35747

Burke, VA

Past

January 25, 2019 - August 2, 2019

CAPITAL ONE INVESTING, INC.

RIA

CRD#: 285084

Manassas, VA

Past

January 8, 2019 - January 8, 2019

CAPITAL ONE INVESTING, INC.

RIA

CRD#: 285084

Manassas, VA

Past

August 30, 2017 - January 3, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

MANASSAS, VA

Past

July 13, 2016 - January 7, 2019

WEALTHCARE ADVISORY PARTNERS LLC

RIA

CRD#: 171976

Manassas, VA

Past

January 30, 2004 - July 11, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

MANASSAS, VA

Past

January 30, 2004 - January 3, 2019

LPL FINANCIAL LLC

CRD#: 6413

MANASSAS, VA

Past

November 19, 1987 - January 7, 2004

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FALLS CHURCH, VA

Past

July 23, 1985 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 23, 1985 - January 7, 2004

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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.

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

Arkansas
(1/2/2019)

California
(1/23/2025)

Colorado
(1/28/2019)

Florida
(1/2/2019)

Ohio
(1/2/2019)

South Carolina
(1/2/2019)

Virginia
(1/25/2019)

IAR

Virginia
(1/8/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 6/24/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Status Unavailable

Passed: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 9/19/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Status Unavailable

Passed: 3/26/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PALLADIUM WEALTH MANAGEMENT, LLC

CRD#: 306689 / SEC#:

Virginia

Registered Investment Advisory firm - (1/8/2020 Approved)

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Contact information

Main Address

10621 Battalion Landing Ct, Burke, VA 22015

Mailing Address

Phone number

(703) 543-6963

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 1,600,000

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 G. Spence

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David George Spence's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CAPITAL ONE INVESTING, INC.

CAPITAL ONE INVESTING, INC.

LPL FINANCIAL LLC

WEALTHCARE ADVISORY PARTNERS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 6/24/1994

Series 63

Passed: 2/28/1986

Series 99TO

Passed: 1/2/2023

SIE

Passed: 10/1/2018

Series 7

Passed: 7/20/1985

Series 24

Passed: 9/19/2001

Series 26

Passed: 3/26/1998

FINRA

Current Firm

PALLADIUM WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PALLADIUM WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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