DM
David R. Mccaghren
GRADIENT SECURITIES
Abilene, TX 79602-8063
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CRD#: 1452802
DM
Professional summary
David Ross Mccaghren is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Abilene, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 9 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) MILLS, MCCAGHREN & ASSOCIATES; INVESTMENT RELATED; 1500 INDUSTRIAL BLVD STE 102, ABILENE, TX 79602; INSURANCE SALES; GENERAL PARTNER; START 03/1992; 4 HOURS PER MONTH; 4 HOURS DURING SECURITIES TRADING HOURS; SALES OF INSURANCE AND DBA FOR SECURITIES AND ADVISORY SERVICES. 2) KIWANIS CLUB OF GREATER ABILENE; KIWANIS INTERNATIONAL; NOT INVESTMENT RELATED; 442 CEDAR STREET, ABILENE, TX 79601; CIVIC ORGANIZATION, HELPING CHILDREN; MEMBER, TEXAS-OKLAHOMA DISTRICT, DIV 35 LT GOVERNOR, OVERSEEING 5 CLUBS ; START 10/2023; 2 HOURS PER MONTH; 2 HOURS DURING SECURITIES TRADING HOURS; RESPONSIBLE FOR GROWTH AND CLUB SUPPORT OVER 5 AREA CLUBS. 3. PASTURE LAND LEASE; NOT INV RELATED; 1581 COUNTY RD 134, OVALO, TX 79541; LAND LEASE; LAND OWNER; START 09/2024; 0 HRS PER MONTH; 0 HRS DURING SECURITIES TRADING HOURS; LEASES PASTURE LAND TO RANCHER FOR CATTLE GRAZING.
CRS (Client Relationship Summary) - RIA
Click below to view David Ross Mccaghren's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Ross Mccaghren'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®
NoneExperience
Current
August 15, 2017 - Present
GRADIENT SECURITIES, LLC
Office #1: 1500 Industrial Blvd Suite 102, Abilene, TX 79602-8063RIA
BD
CRD#: 127701
Abilene, TX
Current
August 15, 2017 - Present
GRADIENT SECURITIES, LLC
Office #1: 1500 Industrial Blvd Suite 102, Abilene, TX 79602-8063RIA
BD
CRD#: 127701
Abilene, TX
Past
October 31, 2005 - August 18, 2017
OSAIC SERVICES, INC.
RIA
CRD#: 133763
ABILENE, TX
Past
October 31, 2005 - August 18, 2017
OSAIC SERVICES, INC.
BD
CRD#: 133763
ABILENE, TX
Past
December 7, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
ABILENE, TX
Past
June 26, 1998 - December 31, 2004
FINANCIAL EDUCATION ASSOCIATES, INC.
RIA
CRD#: 114588
ABILENE, TX
Past
August 15, 1994 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
December 1, 1993 - August 19, 1994
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
January 31, 1992 - December 6, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
April 13, 1989 - February 14, 1992
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
January 3, 1989 - May 8, 1989
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
March 20, 1986 - January 9, 1989
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
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".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Arkansas(11/9/2022)
RR
Florida(3/8/2023)
RR
Georgia(8/21/2023)
IAR
Georgia(8/23/2023)
RR
Indiana(12/9/2022)
IAR
Indiana(12/12/2022)
RR
Missouri(8/15/2017)
RR
Nebraska(6/5/2018)
IAR
Nebraska(6/28/2018)
IAR
North Carolina(8/29/2022)
RR
Texas(8/15/2017)
IAR
Texas(8/15/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
