DA
David R. Anderson
ONEASCENT FINANCIAL SERVICES LLC
Bozeman, MT
Some features on this profile are disabled
CRD#: 1568913
DA
Professional summary
David Rick Anderson is a registered financial advisor currently at ONEASCENT FINANCIAL SERVICES LLC located in Bozeman, Montana.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 9 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) THE CHRISTIAN WORLDVIEW; ADDRESS: 4430 MANITOU AVE TONKA BAY, MN 55331; BUSINESS DESCRIPTION: NON-PROFIT RADIO SHOW; NOT INVESTMENT RELATED; START DATE: 08/08/2008; CAPACITY: BOARD OF DIRECTORS; DUTIES: ANNUAL MEETING; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) Licensed insurance agent. Investment related. Less than 10 hours per month. Less than 10 hours per month during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Rick Anderson'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 9, 2024 - Present
ONEASCENT FINANCIAL SERVICES LLC
RIA
CRD#: 284549
Bozeman, MT
Past
April 14, 2005 - January 27, 2025
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
Bozeman, MT
Past
September 9, 2002 - August 22, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
Bozeman, MT
Past
December 15, 2000 - September 7, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 1, 1999 - September 7, 2002
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
WAYZATA, MN
Past
June 26, 1997 - December 18, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
Past
November 25, 1988 - July 10, 1997
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
October 22, 1986 - December 5, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 Approved)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.Highlighted states indicate IAR registrations
IAR
Minnesota(8/9/2024)
IAR
Montana(8/9/2024)
IAR
Texas(8/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
23 Inverness Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,150 |
| AUM (Assets Under Management) | $ 2,610,953,335 |
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.
