David A. Tillotson
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 Alan Tillotson, who also goes by Dave Alan Tillotson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 9 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2014 - December 10, 2014
IC ADVISORY SERVICES, INC.
February 26, 2014 - December 10, 2014
THE INVESTMENT CENTER, INC.
December 7, 2011 - December 19, 2013
REALTA INVESTMENT ADVISORS, INC
March 9, 2011 - December 19, 2013
REALTA EQUITIES, INC.
January 5, 2010 - February 9, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 4, 2010 - February 9, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 18, 2008 - November 10, 2009
VOYA FINANCIAL ADVISORS, INC.
January 29, 2007 - November 10, 2009
VOYA FINANCIAL ADVISORS, INC.
July 24, 2002 - February 1, 2007
NEW ENGLAND SECURITIES
March 29, 1999 - February 1, 2007
NEW ENGLAND SECURITIES
June 22, 1998 - March 5, 1999
NYLIFE SECURITIES LLC
April 6, 1988 - February 26, 1998
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
