DM
David R. Mailloux
WEALTHCARE INVESTMENT PARTNERS LLC
Portsmouth, RI 02871
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CRD#: 1574358
DM
Professional summary
David Robert Mailloux, AIF® is a registered financial advisor currently at WEALTHCARE INVESTMENT PARTNERS LLC located in Portsmouth, Rhode Island and PRIVATE CLIENT SERVICES, LLC located in Portsmouth, Rhode Island.
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 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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) 35 DYER ST, PORTSMOUTH, RI 02871. OWNER OF BUILDING. 0 HOURS/MO; 0 DURING TRADING HOURS.
2) FIXED INSURANCE. 35 DYER ST, PORTSMOUTH, RI 02871. ADVISOR. 40 HOURS/MO; 20 DURING TRADING HOURS.
3) PORTSMOUTH FINANCIAL CENTER, INC. 35 DYER ST, PORTSMOUTH, RI 02871. C CORP FOR TAX PURPOSES ONLY. OWNER, INVESTMENT & FINANCIAL SERVICES. 0 HOURS/MO; 0 DURING TRADING HOURS.
4) WEALTHCARE INVESTMENT PARTNERS LLC. 35 DYER STREET, PORTSMOUTH, RI 02871. REGISTERED INVESTMENT ADVISOR. OWNER, PRINCIPAL & CCO
CRS (Client Relationship Summary) - RIA
Click below to view David Robert Mailloux'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®
Experience
Current
July 2, 2018 - Present
WEALTHCARE INVESTMENT PARTNERS LLC
Office #1: 35 Dyer Street, Portsmouth, RI 02871RIA
CRD#: 296475
Portsmouth, RI
Current
July 2, 2018 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 35 Dyer Street, Portsmouth, RI 02871RIA
BD
CRD#: 120222
Portsmouth, RI
Past
January 13, 1997 - July 13, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
PORTSMOUTH, RI
Past
June 17, 1996 - July 13, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
PORTSMOUTH, RI
Past
October 29, 1986 - June 19, 1996
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
WI
WEALTHCARE INVESTMENT PARTNERS LLC
WEALTHCARE INVESTMENT PARTNERS | WEALTHCARE INVESTMENT PARTNERS LLC
CRD#: 296475 / SEC#: 801-113276
RIA
Registered Investment Advisory firm - (5/24/2018 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.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
California(7/2/2018)
RR
Colorado(1/3/2023)
RR
Connecticut(7/2/2018)
RR
Delaware(7/2/2018)
RR
Florida(7/2/2018)
RR
Georgia(7/2/2018)
RR
Louisiana(2/8/2022)
RR
Maine(7/2/2018)
RR
Maryland(1/3/2023)
RR
Massachusetts(7/2/2018)
RR
New Hampshire(7/2/2018)
RR
New Jersey(7/2/2018)
RR
New York(7/2/2018)
RR
North Carolina(7/2/2018)
RR
Ohio(7/2/2018)
RR
Oklahoma(1/3/2023)
RR
Oregon(2/8/2022)
RR
Pennsylvania(7/2/2018)
RR
Rhode Island(7/2/2018)
IAR
Rhode Island(7/2/2018)
RR
South Carolina(7/2/2018)
RR
Texas(7/2/2018)
RR
Utah(7/2/2018)
RR
Vermont(7/2/2018)
RR
Virginia(7/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WEALTHCARE INVESTMENT PARTNERS LLC
WEALTHCARE INVESTMENT PARTNERS | WEALTHCARE INVESTMENT PARTNERS LLC
CRD#: 296475 / SEC#: 801-113276
RIA
Registered Investment Advisory firm - (5/24/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Dyer Street, Portsmouth, RI 02871
Mailing Address
Po Box 189, Portsmouth, RI 02871
Phone number
(401) 682-2335
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,876 |
| AUM (Assets Under Management) | $ 654,788,239 |
Red Flags
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Company Information
WEALTHCARE INVESTMENT PARTNERS LLC
CRD#: 296475Portsmouth, RI 02871TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
