David Y. Sun

ELLIS INVESTMENT PARTNERS

Berwyn, PA 19312

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CRD#: 1849131

Professional summary

David Yu-wen Sun, who also goes by David Yuwen Sun, David Sun, is a registered financial advisor currently at ELLIS INVESTMENT PARTNERS, LLC located in Berwyn, Pennsylvania.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. David has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Yuwen Sun | David Sun

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Yu-wen Sun's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 9, 2012 - Present

ELLIS INVESTMENT PARTNERS, LLC

Office #1: 920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312

RIA

CRD#: 157669

Berwyn, PA

Past

April 20, 2001 - April 19, 2012

CMS WEALTH MANAGEMENT

RIA

CRD#: 105903

WAYNE, PA

Past

November 30, 2000 - December 31, 2008

EQUITY SERVICES, INC.

CRD#: 265

WAYNE, PA

Past

April 20, 1990 - November 27, 2000

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

April 20, 1990 - November 27, 2000

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

July 20, 1988 - December 5, 1989

HIBBARD BROWN & CO., INC.

CRD#: 18246

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".

ELLIS INVESTMENT PARTNERS, LLC

ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA

Registered Investment Advisory firm - (1/6/2012 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(3/9/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/15/1990

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/1997

General Securities Principal Examination

Current Firm

ELLIS INVESTMENT PARTNERS, LLC

ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA

Registered Investment Advisory firm - (1/6/2012 Approved)

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Contact information

Main Address

920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312

Mailing Address

Phone number

(484) 320-6300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	823
AUM (Assets Under Management)	$ 916,741,818

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.

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Advisor Monitoring

Firm Stability Insights

David Y. Sun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Yu-wen Sun's CRS (Customer Relationship Summary).

Certified licenses

Experience

CMS WEALTH MANAGEMENT

EQUITY SERVICES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

ELLIS INVESTMENT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/1990

Series 63

Date: 7/27/1988

Series 7

Date: 7/16/1988

Series 24

Date: 2/11/1997

Current Firm

ELLIS INVESTMENT PARTNERS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLIS INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

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