David L. Maurice

WORTHWHILE WEALTH COUNCIL

Johnson City, TN 37601

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CRD#: 2120949

Professional summary

David Lee Maurice, CFP® is a registered financial advisor currently at WORTHWHILE WEALTH COUNCIL located in Johnson City, Tennessee.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. David has worked at 4 firms and has passed the Series 63 and Series 6 exams.

Core Areas of Focus

AUM

Baby Boomers

Business Owners

Cash Flow/Budgets/Credit Issues

Charitable Giving

College/Education Planning

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Small Business Planning

Investment Planning

Estate Planning

Socially Responsible Investing

Retirement Income Management

Inheritance

Social Security Planning

Life Transitions

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Maurice'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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

June 8, 2007 - Present

WORTHWHILE WEALTH COUNCIL

Office #1: 508 Princeton Rd Suite 301, Johnson City, TN 37601Office #2: 2030 W Sr 89a Suite B2-b, Sedona, AZ 86336

RIA

CRD#: 126918

Johnson City, TN

Past

March 26, 2004 - February 10, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

GREENEVILLE, TN

Past

January 4, 1994 - February 10, 2006

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 20, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 20, 1991 - January 28, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Arizona
(6/2/2014)

IAR

North Carolina
(12/2/2020)

IAR

Tennessee
(6/8/2007)

IAR

Virginia
(5/24/2011)

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: 2/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/19/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WORTHWHILE WEALTH COUNCIL

CARRIER & MAURICE INVESTMENT ADVISORS | WORTHWHILE WEALTH COUNCIL | WEALTHWISE, INC. | CARRIER, MAURICE & WEBB WEALTH ADVISORS

CRD#: 126918 / SEC#:

Arizona

Registered Investment Advisory firm - (6/2/2014 Approved)

North Carolina

Registered Investment Advisory firm - (8/26/2020 Approved)

Tennessee

Registered Investment Advisory firm - (12/10/2003 Approved)

Virginia

Registered Investment Advisory firm - (5/24/2011 Approved)

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Contact information

Main Address

508 Princeton Rd Suite 301, Johnson City, TN 37601

Mailing Address

Phone number

(423) 610-0099

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	394
AUM (Assets Under Management)	$ 63,675,627

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

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David L. Maurice

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Maurice's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORTHWHILE WEALTH COUNCIL

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/19/1991

Series 6

Date: 2/19/1991

Current Firm

WORTHWHILE WEALTH COUNCIL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WORTHWHILE WEALTH COUNCIL

TRUST BUT VERIFY

Contact information

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