David L. Mcguire
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 Lawrence Mcguire was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 19 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2018 - March 26, 2019
CREATIVEONE WEALTH, LLC
July 14, 2016 - December 31, 2016
SUMMIT WEALTH PARTNERS, LLC
January 28, 2016 - August 19, 2016
SUMMIT WEALTH PARTNERS, LLC
June 28, 2013 - March 31, 2014
SANTANDER SECURITIES LLC
April 23, 2013 - March 31, 2014
SANTANDER SECURITIES LLC
April 17, 2012 - January 16, 2013
CUSO FINANCIAL SERVICES, L.P.
April 16, 2012 - January 16, 2013
CUSO FINANCIAL SERVICES, L.P.
May 9, 2011 - December 21, 2011
KESTRA INVESTMENT SERVICES, LLC
November 26, 2008 - December 21, 2011
KESTRA INVESTMENT SERVICES, LLC
October 20, 2004 - August 29, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 22, 2004 - October 20, 2004
QUICK & REILLY, INC.
May 9, 2003 - October 7, 2003
NEW ENGLAND SECURITIES
August 23, 2002 - February 18, 2003
MORNINGSTAR INVESTMENT SERVICES LLC
April 20, 1999 - July 23, 2002
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 4, 1998 - April 20, 1999
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
April 29, 1996 - December 9, 1997
FIRST UNION BROKERAGE SERVICES, INC.
August 8, 1995 - April 9, 1996
CG CAPITAL MARKETS, LLC
July 22, 1994 - August 14, 1995
CAPITAL BROKERAGE CORPORATION
June 25, 1993 - August 9, 1994
IVY DISTRIBUTORS, INC.
August 7, 1992 - June 10, 1993
AVANTAX INVESTMENT SERVICES, INC.
February 5, 1992 - September 2, 1992
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
November 6, 1990 - January 31, 1991
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CREATIVEONE WEALTH, LLC
CRD#: 281213 / SEC#: 801-106677
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
CREATIVEONE WEALTH, LLC
CRD#: 281213 / SEC#: 801-106677
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,437 |
| AUM (Assets Under Management) | $ 4,828,907,475 |
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.
