David C. Craig

OCTOBER WEALTH ADVISORS,

FORT SMITH, AR 72901

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CRD#: 2070323

Professional summary

David Clarke Craig, who also goes by David Clarke Craig Mr., is a registered financial advisor currently at OCTOBER WEALTH ADVISORS, INC located in Fort Smith, Arkansas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 2 firms and has passed the Series 63 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Clarke Craig Mr.

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 Clarke Craig'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

October 6, 2010 - Present

OCTOBER WEALTH ADVISORS, INC

Office #1: 322 North 8th Street, Fort Smith, AR 72901

RIA

CRD#: 153993

FORT SMITH, AR

Past

January 1, 2001 - January 24, 2011

PAUL MANNERS & ASSOCIATES, INC.

RIA

CRD#: 110996

FORT SMITH, AR

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".

OCTOBER WEALTH ADVISORS, INC

CRD#: 153993 / SEC#: 801-124993

RIA

Registered Investment Advisory firm - (5/12/2022 Approved)

Arkansas

Registered Investment Advisory firm - (6/14/2022 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/14/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/14/2022 Terminated)

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).

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

Arkansas
(10/6/2010)

IAR

Texas
(10/6/2010)

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

Series 63

Date: 10/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 7/13/1990

Non-Member General Securities Examination

Current Firm

OCTOBER WEALTH ADVISORS, INC

CRD#: 153993 / SEC#: 801-124993

RIA

Registered Investment Advisory firm - (5/12/2022 Approved)

Arkansas

Registered Investment Advisory firm - (6/14/2022 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/14/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/14/2022 Terminated)

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Contact information

Main Address

322 North 8th Street, Fort Smith, AR 72901

Mailing Address

Phone number

(479) 452-0996

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCTOBER WEALTH BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	351
AUM (Assets Under Management)	$ 130,743,699

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
03/11/2024	Cover Page	Report
05/30/2023	Cover Page	Report
05/22/2023	Cover Page	Report

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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David C. Craig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Clarke Craig's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCTOBER WEALTH ADVISORS, INC

PAUL MANNERS & ASSOCIATES, INC.

Primary Firm SEC Registration

OCTOBER WEALTH ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1993

Series 2

Date: 7/13/1990

Current Firm

OCTOBER WEALTH ADVISORS, INC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OCTOBER WEALTH ADVISORS, INC

TRUST BUT VERIFY

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