David A. Snavely

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CRD#: 2030866

Professional summary

David Alan Snavely was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, David had worked at 8 firms, which includes TCFG WEALTH MANAGEMENT LLC, INTERNATIONAL ASSETS ADVISORY LLC, CADARET GRANT & CO. INC., CETERA ADVISORS LLC, PACIFIC WEST SECURITIES INC., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, INVESTORS CAPITAL CORP., NATIONAL PLANNING CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Snavely

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 18, 2021 - August 9, 2021

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

LAGUNA NIGUEL, CA

Past

May 7, 2020 - February 1, 2021

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

March 26, 2020 - May 1, 2020

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Des Moines, WA

Past

March 25, 2020 - May 1, 2020

CADARET, GRANT & CO., INC.

CRD#: 10641

Des Moines, WA

Past

July 15, 2016 - March 26, 2020

CETERA ADVISORS LLC

RIA

CRD#: 10299

DES MOINES, WA

Past

April 29, 2011 - March 26, 2020

CETERA ADVISORS LLC

CRD#: 10299

DES MOINES, WA

Past

May 25, 2006 - April 29, 2011

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

DES MOINES, WA

Past

January 17, 2006 - April 21, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

DES MOINES, WA

Past

January 5, 1996 - December 31, 2005

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

February 10, 1994 - December 31, 1995

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

May 10, 1993 - November 5, 1993

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/27/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/7/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153 / SEC#: , 8-69089

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677

Mailing Address

28202 Cabot Road, Suite 300, Laguna Niguel, CA 92677

Phone number

(949) 365-5830

Established

Delaware since 04/10/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (48 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CERTUS FINANCIAL GROUP, LLC	MANAGING MEMBER
ROBERTS, RICHARD JAMES	PRESIDENT / CEO	2145874
TESLA, DEETRA MARIE	CCO	2567278
THORNTON, STEVEN LEE	FINOP / CFO	4496384

Disclosures

Civil Event

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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Firm Stability Insights

David A. Snavely

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERNATIONAL ASSETS ADVISORY, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PACIFIC WEST SECURITIES, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

NATIONAL PLANNING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/27/2017

Series 63

Date: 5/11/1993

SIE

Date: 10/1/2018

Series 6

Date: 5/7/1993

Current Firm

TCFG WEALTH MANAGEMENT, LLC

Contact information

FINRA licenses (48 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TCFG WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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