DC
David L. Close
GLADSTONE WEALTH PARTNERS
Warren, PA 16365
Some features on this profile are disabled
CRD#: 1793128
DC
Professional summary
David L Close, who also goes by David Leon Close, is a registered financial advisor currently at GLADSTONE WEALTH PARTNERS located in Warren, Pennsylvania and LPL FINANCIAL LLC located in Warren, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Leon Close
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. 1/5/2015: Spectrum 6 Corp - Investment Related - Business Entity For Tax/Investment Purposes Only - Entity that holds family farm. 2. 2/18/2015: Freedom Investment Management Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/13/2015 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 8/7/2015: Time Financial, A Crump Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/28/2015 - 2 Hours Per Month During Securities Trading - Insurance agent using Crump as an alternative insurance broker. 4. 9/11/2015: L & D Realestate - Investment Related - 41 Lynn Dr., Warren, PA 16365 - Real Estate Rental - Started 08/27/2012 - 8 Hours Per Month/0 Hours During Securities Trading. 5. 1/11/2016 - Gladstone Institutional Advisory LLC - DBA: (Hybrid) Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 02/13/15 - 160 Hours Per Month/8 Hours During Securities Trading - Financial plans provided for a fixed fee. 6. 1/11/2016 - Gladstone Institutional Advisory LLC - DBA: (Hybrid) Freedom Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 12/01/2015 - 160 Hours Per Month/8 Hours During Securities Trading - Financial plans provided for a fixed fee. 7. 01/22/2016 * L and D Real Estate, LLC. * Real Estate Rental * NOT INV REL * 41 Lynn Dr. Warren, PA 16365 * START 06/15/2012 * 5 HRS/MO NOT DURING SECS TRDG HRS. 8. 7/11/2017 - David Close Freedom Investment - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2017 - 1 Hour Per Month During Securities Trading. 9. 3/30/2021 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 10/01/2020 - 5 Hours Per Month During Securities Trading. 10. 01/2015 - LPL Financial - broker-dealer registered representative - Investment Related - At Reported Business Location(s) - 80 hours a month during securities trading.
CRS (Client Relationship Summary) - RIA
Click below to view David L Close'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
December 7, 2015 - Present
GLADSTONE WEALTH PARTNERS
Office #1: 229 Liberty Street, Warren, PA 16365Office #2: 100 State Street Suite 420, Erie, PA 16507RIA
CRD#: 250787
Warren, PA
Current
January 2, 2015 - Present
LPL FINANCIAL LLC
Office #1: 229 Liberty St, Warren, PA 16365Office #2: 100 State St Ste 420, Erie, PA 16507RIA
BD
CRD#: 6413
Warren, PA
Past
January 5, 2015 - December 23, 2015
GOOD LIFE ADVISORS, LLC
RIA
CRD#: 171898
WARREN, PA
Past
October 29, 2010 - January 9, 2015
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
ST MARYS, PA
Past
October 29, 2010 - January 9, 2015
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
ST MARYS, PA
Past
September 23, 2010 - October 29, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WARREN, PA
Past
November 13, 2009 - October 29, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WARREN, PA
Past
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
January 8, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
December 4, 1996 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
NORTH WARREN, PA
Past
September 30, 1996 - December 10, 1996
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
July 5, 1994 - October 4, 1996
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
March 7, 1988 - August 3, 1994
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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".
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 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
Connecticut(1/24/2025)
RR
Florida(6/23/2016)
RR
New Jersey(2/11/2016)
RR
New York(1/2/2015)
RR
Pennsylvania(1/2/2015)
IAR
Pennsylvania(12/7/2015)
RR
South Carolina(4/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
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Contact information
Main Address
2000 Pga Blvd. Suite 4440, Palm Beach Gardens, FL 33408
Mailing Address
1545 Us-206 Suite 300, Bedminster, NJ 07921
Phone number
(908) 719-1313
Established
Firm type
Fiscal year end
# of Employees
163
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,810 |
| AUM (Assets Under Management) | $ 4,943,971,956 |
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.
