David B. Bias
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 Blair Bias, who also goes by David Bias, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2019 - January 4, 2021
FFEC WEALTH PARTNERS LLC
August 23, 2007 - November 6, 2018
FORESTERS EQUITY SERVICES, INC.
December 31, 2001 - August 2, 2007
ALLEGHENY INVESTMENTS, LTD.
June 21, 1999 - August 2, 2007
ALLEGHENY INVESTMENTS, LTD.
November 8, 1993 - June 9, 1999
FORESTERS EQUITY SERVICES, INC.
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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
