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DS

David K. Sowards

Some features on this profile are disabled
CRD#: 1475505
DS

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 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 professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David K Sowards Jr | David Keith Sowards Jr | David Keith Sowards Jr Jr | David K Sowards Jr. Jr

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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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®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Past

October 18, 2022 - August 10, 2023

CENTER STREET SECURITIES, INC.

BD
CRD#: 26898
CHARLESTON, WV
Past

February 18, 2022 - June 6, 2023

AXXCESS WEALTH MANAGEMENT, LLC

RIA
CRD#: 164081
Charleston, WV
Past

September 1, 2016 - February 23, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLESTON, WV
Past

September 1, 2016 - February 23, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLESTON, WV
Past

June 1, 2009 - September 9, 2016

MORGAN STANLEY

RIA
CRD#: 149777
CHARLESTON, WV
Past

June 1, 2009 - September 9, 2016

MORGAN STANLEY

BD
CRD#: 149777
CHARLESTON, WV
Past

September 28, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHARLESTON, WV
Past

April 19, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHARLESTON, WV
Past

April 29, 1986 - November 18, 1996

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/1/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/7/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/28/1986
Investment Company Products/Variable Contracts Representative Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Louisiana since 06/01/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CENTER STREET HOLDINGS INC.DIRECT OWNER
ONESTO, RICHARD ERNESTFINOP2453096
POLLARD, DONALD ROBERTCHIEF EXECUTIVE OFFICER
POLLARD, DONALD ROBERTROP
ROMANO, MICHAEL ANTHONYCHIEF COMPLIANCE OFFICER734293

Disclosures

Regulatory Event6
Criminal1
Arbitration7

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.

Company Information

CENTER STREET SECURITIES, INC.

CRD#: 26898

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