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David Keith Sowards

CFP®

CRD# 1475505·Registered 1986 - 2023

Previously Registered: Being a previously registered professional could mean that David 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.

Professional Summary

David Keith Sowards, CFP®, who also goes by David K Sowards Jr, David Keith Sowards Jr, David Keith Sowards Jr Jr, David K Sowards Jr. Jr, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1986 - 2023. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David K Sowards Jr, David Keith Sowards Jr, David Keith Sowards Jr Jr, David K Sowards Jr. Jr

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®

Certified Financial PlannerSince 2011

Years of Experience

40 years in the financial services industry

Current & Past Employments

CENTER STREET SECURITIES, INC.·CRD# 26898

BD

Charleston, WV

October 18, 2022 - August 10, 2023

AXXCESS WEALTH MANAGEMENT, LLC·CRD# 164081

RIA

Charleston, WV

February 18, 2022 - June 6, 2023

WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616

RIA

Charleston, WV

September 1, 2016 - February 23, 2022

WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616

BD

Charleston, WV

September 1, 2016 - February 23, 2022

MORGAN STANLEY·CRD# 149777

RIA

Charleston, WV

June 1, 2009 - September 9, 2016

MORGAN STANLEY·CRD# 149777

BD

Charleston, WV

June 1, 2009 - September 9, 2016

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

RIA

Charleston, WV

September 28, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

BD

Charleston, WV

April 19, 2004 - June 1, 2009

PFS INVESTMENTS INC.·CRD# 10111

BD

Duluth, GA

April 29, 1986 - November 18, 1996

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Current Firm

CS

CENTER STREET SECURITIES, INC.

CENTER STREET SECURITIES, INC. | ELLIOTT FINANCIAL SERVICES, INC.

CRD#: 26898 / SEC#: 8-42786

BD

Terminated by SEC on 01/27/2024

Contact Information

Established

Louisiana since 06/01/1990

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

Name	Position	CRD#
CENTER STREET HOLDINGS INC.	DIRECT OWNER	—
ONESTO, RICHARD ERNEST	FINOP	2453096
POLLARD, DONALD ROBERT	CHIEF EXECUTIVE OFFICER	—
POLLARD, DONALD ROBERT	ROP	—
ROMANO, MICHAEL ANTHONY	CHIEF COMPLIANCE OFFICER	734293

Disclosures

Regulatory Event

6

Criminal

1

Arbitration

9

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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) SOWARDS FARMS LLC; NOT INV. RELATED; FRAZIERS BOTTOM, WV; CO-OWNER; FAMILY FARM; START DATE 5/2014; 10 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES; OWNER/OPERATOR FAMILY FARM.

(2) MR. SOWARDS IS DUALLY-REGISTERED WITH AXXCESS WEALTH MANAGEMENT, LLC AND CENTER STREET SECURITIES, INC. MR. SOWARDS HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FOR AXXCESS WEALTH MANAGEMENT, LLC SINCE 02/2022 AND AS A REGISTERED REPRESENTATIVE WITH CENTER STREET SECURITIES, INC. SINCE 10/2022. BUSINESS IS CONDUCTED FROM 500 CORPORATE LANDING, SUITE 201, CHARLESTON, WV 25301. APPROXIMATELY 90% OF MR. SOWARDS' TIME IS SPENT WITH AXXCESS WEALTH MANAGEMENT, LLC, AND THE BALANCE IS SPENT AS A REGISTERED REPRESENTATIVE.

(3) INDEPENDENT INSURANCE AGENT; NOT INVESTMENT-RELATED. BUSINESS IS CONDUCTED FROM 500 CORPORATE LANDING, SUITE 201, CHARLESTON, WV 25301. 09/2016 START DATE; TWO HOURS PER MONTH; TWO HOURS DURING SECURITIES TRADING HOURS; PRESENTING AND SELLING INSURANCE PRODUCTS AND SOLUTIONS.

(4) VANDALIA WEALTH MANAGEMENT; NOT INVESTMENT RELATED; 1710 SIERRA ROAD, CHARLESTON, WV; DBA FOR ADVISORY BUSINESS. WITH AXXCESS WEALTH MANAGEMENT, LLC; START 02/2022

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2004About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2004About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2004About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1986About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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DS

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