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DY

David C. Yelle

HANSEN & ASSOCIATES FINANCIAL GROUP
ROSEVILLE, CA 95661
Some features on this profile are disabled
CRD#: 2123208
DY

Professional summary

David Christopher Yelle is a registered financial advisor currently at HANSEN & ASSOCIATES FINANCIAL GROUP INC. located in Roseville, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. David has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Christopher Yelle'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

March 17, 2015 - Present

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

Office #1: 2271 Lava Ridge Court Suite 200, Roseville, CA 95661
RIA
CRD#: 168363
ROSEVILLE, CA
Past

December 2, 2014 - March 6, 2015

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Roseville, CA
Past

October 27, 2014 - March 6, 2015

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Roseville, CA
Past

April 6, 2004 - September 15, 2004

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

March 19, 2004 - April 29, 2004

UNX LLC

BD
CRD#: 46145
BURBANK, CA
Past

September 29, 1999 - February 3, 2000

CAPBAY FINANCIAL SERVICES

BD
CRD#: 32395
ROSEVILLE, CA
Past

October 7, 1997 - December 2, 1997

MPAC CAPITAL PARTNERS, L.P.

BD
CRD#: 39136
SAUSALITO, CA
Past

July 22, 1992 - December 12, 1995

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

February 18, 1992 - June 18, 1992

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
PORTLAND, OR
Past

May 21, 1991 - January 27, 1992

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
H&
HANSEN & ASSOCIATES FINANCIAL GROUP INC.
DARLING FINANCIAL GROUP, LLC | WHITEROCK CAPITAL MANAGEMENT | PACIFIC CREST WEALTH MANAGEMENT | HANSEN & ASSOCIATES FINANCIAL GROUP INC.

CRD#: 168363 / SEC#: 801-122580

RIA
Registered Investment Advisory firm - (10/29/2021 Approved)
California
Registered Investment Advisory firm - (12/3/2021 Terminated)

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
California
(3/17/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/31/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/6/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 3/16/2004
Limited Representative-Equity Trader Exam

Current Firm

H&
HANSEN & ASSOCIATES FINANCIAL GROUP INC.
DARLING FINANCIAL GROUP, LLC | WHITEROCK CAPITAL MANAGEMENT | PACIFIC CREST WEALTH MANAGEMENT | HANSEN & ASSOCIATES FINANCIAL GROUP INC.

CRD#: 168363 / SEC#: 801-122580

RIA
Registered Investment Advisory firm - (10/29/2021 Approved)
California
Registered Investment Advisory firm - (12/3/2021 Terminated)
PREMIUM
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Contact information

Main Address
2271 Lava Ridge Court Suite 195, Roseville, CA 94661
Mailing Address
Phone number
(916) 706-1234
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1 - WRAP BROCHURE (3/10/2025)
ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts1,165
AUM (Assets Under Management)$ 229,760,228

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.

Company Information

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

CRD#: 168363Roseville, CA 95661

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