David Ray Birk
Professional Summary
David Ray Birk is a registered financial advisor currently at OFG FINANCIAL SERVICES, INC. located in Topeka, Kansas. David is registered as a RR (Registered Representative) and started their career in finance in 1986. David has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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RAYMOND JAMES & ASSOCIATES, INC.
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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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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
DEARBORN AND CREGGS, INC. | SECURITY FINANCIAL SERVICES, INC. | PATHWAY FINANCIAL SOLUTIONS | OGDON FINANCIAL SERVICES, INC. | OFG FINANCIAL SERVICES, INC. | MODERN ADVISOR GROUP
Contact Information
Main Address
Townsite Plaza #2, Suite # 105 Townsite Plaza #2, Suite 105, Topeka, KS 66603-3515Mailing Address
Townsite Plaza #2, Suite # 105 120 Se 6th Avenue, Topeka, KS 66603-3515Phone Number
(785) 233-4071Established
Kansas since 12/12/1968Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
30SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
850AUM (Assets Under Management)
$271,000,000Disclosures
Regulatory Event
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RAYMOND JAMES & ASSOCIATES, INC.
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
DEARBORN AND CREGGS, INC. | SECURITY FINANCIAL SERVICES, INC. | PATHWAY FINANCIAL SOLUTIONS | OGDON FINANCIAL SERVICES, INC. | OFG FINANCIAL SERVICES, INC. | MODERN ADVISOR GROUP
State Registrations and Notice Filings
(9/26/2005)
(3/15/1996)
(1/24/2008)
(11/20/1995)
(4/1/1992)
(12/9/1997)
(2/24/1998)
(3/29/1999)
(2/17/1999)
(1/13/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1986About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Ray Birk's CRS (Customer Relationship Summary).
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