David B. Lennox

EASTWIND CAPITAL WEALTH MANAGEMENT

Westerville, OH 43081

Some features on this profile are disabled

CRD#: 1855993

Professional summary

David Brian Lennox is a registered financial advisor currently at EASTWIND CAPITAL WEALTH MANAGEMENT located in Westerville, Ohio.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

ESTATE PLANNING PROFESSIONALS; NON-INVESTMENT RELATED; WESTERVILLE, OH; INSURANCE SERVICES; REPRESENTATIVE; 06/1991; APPROXIMATELY 60% OF TIME SPENT IN THIS BUSINESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Brian Lennox'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®

None

Experience

Current

May 12, 2022 - Present

EASTWIND CAPITAL WEALTH MANAGEMENT

Office #1: 921 Eastwind Drive Suite 101, Westerville, OH 43081

RIA

CRD#: 146957

Westerville, OH

Past

June 13, 2008 - March 31, 2021

EASTWIND CAPITAL WEALTH MANAGEMENT

RIA

CRD#: 146957

WESTERVILLE, OH

Past

January 11, 2007 - August 4, 2008

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

WESTERVILLE, OH

Past

September 5, 2006 - August 4, 2008

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

WESTERVILLE, OH

Past

July 14, 2005 - December 31, 2005

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

WESTERVILLE, OH

Past

July 11, 2005 - January 27, 2006

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

WESTERVILLE, OH

Past

October 10, 2001 - December 31, 2003

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

COLUMBUS, OH

Past

March 15, 2001 - June 3, 2005

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

July 25, 2000 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

December 8, 1999 - July 31, 2000

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

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

Ohio
(5/12/2022)

IAR

Pennsylvania
(11/14/2022)

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 66

Date: 1/10/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/4/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/18/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EASTWIND CAPITAL WEALTH MANAGEMENT

EASTWIND CAPITAL WEALTH MANAGEMENT | ESTATE PLANNING PROFESSIONALS | EPP CORPORATE RETIREMENT SERVICES | EASTWIND CAPITAL, LLC

CRD#: 146957 / SEC#: 801-69213

RIA

Registered Investment Advisory firm - (7/27/2012 Terminated)

Florida

Registered Investment Advisory firm - (2/1/2017 Approved)

Indiana

Registered Investment Advisory firm - (12/17/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2019 Approved)

Ohio

Registered Investment Advisory firm - (7/17/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/31/2018 Approved)

Texas

Registered Investment Advisory firm - (7/10/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

921 Eastwind Drive Suite 101, Westerville, OH 43081

Mailing Address

Phone number

(614) 888-2230

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	501
AUM (Assets Under Management)	$ 69,593,040

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.

Similar Advisors

Andrew Lehman

INSPIRE ADVISORS, LLC

IAR

Columbus, OH

James Bowman

JANNEY MONTGOMERY SCOTT LLC

IAR

Columbus (grandview), OH

Cody Anderson

J.P. MORGAN SECURITIES LLC

IAR

UPPER ARLINGTON, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David B. Lennox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Brian Lennox's CRS (Customer Relationship Summary).

Certified licenses

Experience

EASTWIND CAPITAL WEALTH MANAGEMENT

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

LEGACY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2007

Series 63

Date: 10/4/2000

Series 7

Date: 4/18/2005

Series 6

Date: 12/7/1999

Current Firm

EASTWIND CAPITAL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EASTWIND CAPITAL WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors