DS
David P. Sawinski
ASSET ALLOCATION STRATEGIES
GRAND RAPIDS, MI 49525
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CRD#: 1807166
DS
Professional summary
David Patrick Sawinski, who also goes by Dave Sawinski, is a registered financial advisor currently at ASSET ALLOCATION STRATEGIES, LLC located in Grand Rapids, Michigan and GLP INVESTMENT SERVICES, LLC located in Grand Rapids, Michigan.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Sawinski
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) DPS FINANCIAL INC. INVESTMENT-RELATED. FIXED INTEREST AND INSURANCE PRODUCTS. 1514 WEALTHY STREET S.E., SUITE 256, GRAND RAPIDS, MI 49506. INVESTMENT AND RETIREMENT PLANNING. PRESIDENT. 25 HOURS PER MONTH DURING TRADING HOURS. (2) SANMAN PROPERTIES, LLC. INVESTMENT-RELATED. ADDRESS: 3258 CLEAR VISTA CT, GRAND RAPIDS, MI 49525. NATURE: BUYING/RENTING HOUSES. POSITION: MANAGING MEMBER. START DATE: MAY 2018. HOURS DEVOTED PER MONTH: 10 HOURS. DUTIES: SUPERVISE, INVEST IN PROPERTY FOR IMPROVEMENTS, HELP WITH RENTAL DUTIES. (3) CLEAR VISTA LLC. INVESTMENT-RELATED. ADDRESS: 3258 CLEAR VISTA CT, GRAND RAPIDS, MI 49525. NATURE: BUYING/RENTING PROPERTIES. POSITION: PART OWNER. START DATE: 08/2020. HOURS DEVOTED PER MONTH: 4HRS. DUTIES: MANAGE AND COLLECT RENT. (4) MM GEN RECOVERY, LLC. INVESTMENT-RELATED. ADDRESS: 3258 CLEAR VISTA CT, GRAND RAPIDS, MI 49525. NATURE: BUYING/RENTING PROPERTIES. POSITION: PART OWNER. START DATE: 01/2021. HOURS DEVOTED PER MONTH: 4HRS. DUTIES: MANAGE AND COLLECT RENT. (5) GLP & ASSOCIATES, INVESTMENT RELATED, LOCATED IN GRAND RAPIDS, SUPERVISED FROM FARMINGTON MI, NATURE: LIFE INSURANCE/ANNUITY SALES, POSITION: INSURANCE AGENT, START DATE: APRIL 2002, APX 40 HRS/MO., 35 HRS DURING TRADING HOURS, DUTIES: LIFE INSURANCE AND FIXED/INDEX ANNUITY SALES AND SERVICING INSURANCE CLIENTS. (6) ASSET ALLOCATION STRATEGIES, LLC; INVESTMENT RELATED; LOCATED IN GRAND RAPIDS, SUPERVISED FROM FARMINGTON, MI; NATURE: INVESTMENT ADVISOR; POSITION: IAR; START DATE: 07/2020; APX 70 HRS/MO., 65 HRS DURING TRADING HOURS; DUTIES: SOLICIT, SERVICE, ACTIVELY MANAGE ADVISORY ACCOUNTS/CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view David Patrick Sawinski'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
July 31, 2020 - Present
ASSET ALLOCATION STRATEGIES, LLC
Office #1: 3258 Clear Vista Ct., Grand Rapids, MI 49525RIA
CRD#: 152339
GRAND RAPIDS, MI
Current
April 30, 2002 - Present
GLP INVESTMENT SERVICES, LLC
Office #1: 3258 Clear Vista Ct., Grand Rapids, MI 49525BD
CRD#: 25450
Grand Rapids, MI
Past
June 15, 1999 - April 25, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
March 8, 1995 - May 26, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
December 11, 1994 - February 9, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
March 4, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
March 4, 1988 - October 21, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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".
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 Terminated)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
Alabama(12/24/2024)
RR
Arizona(12/24/2024)
RR
Florida(1/15/2019)
RR
Georgia(8/25/2015)
RR
Illinois(12/24/2024)
RR
Kansas(6/22/2015)
RR
Michigan(4/30/2002)
IAR
Michigan(7/31/2020)
RR
Nevada(3/7/2025)
RR
New York(12/24/2024)
RR
Texas(12/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
33335 Grand River, Farmington, MI 48336
Mailing Address
Phone number
(248) 489-0101
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,883 |
| AUM (Assets Under Management) | $ 767,431,598 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339Grand Rapids, MI 49525TRUST BUT VERIFY
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