David M. Pabin

ALERA INVESTMENT ADVISORS

Wylie, TX

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CRD#: 2149045

Professional summary

David Michael Pabin is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Wylie, Texas and OSAIC WEALTH, INC. located in Wylie, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 22 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 Michael Pabin'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

November 4, 2025 - Present

ALERA INVESTMENT ADVISORS, LLC

RIA

CRD#: 287906

Wylie, TX

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Wylie, TX

Past

January 19, 2024 - April 7, 2026

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SCOTTSDALE, AZ

Past

June 10, 2014 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

WYLIE, TX

Past

December 10, 2004 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

WYLIE, TX

Past

November 21, 2001 - December 16, 2004

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

July 15, 1998 - September 24, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 13, 1998 - September 24, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 25, 1995 - January 30, 1998

MARSH & MCLENNAN SECURITIES CORPORATION

CRD#: 556

NEW YORK, NY

Past

November 30, 1994 - March 22, 1995

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

November 30, 1994 - June 6, 1995

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

April 20, 1994 - November 14, 1994

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

June 7, 1991 - April 15, 1992

TOUCHSTONE CAPITAL CORPORATION

CRD#: 26380

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".

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/19/2024)

California
(1/19/2024)

Colorado
(1/19/2024)

Florida
(1/19/2024)

South Dakota
(1/19/2024)

Texas
(1/19/2024)

IAR

Texas
(11/4/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/15/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/22/1991

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: 10/21/1994

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 6/6/1991

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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Contact information

Main Address

Three Parkway North Suite 500, Deerfield, IL 60015-2567

Mailing Address

Phone number

(847) 457-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,097
AUM (Assets Under Management)	$ 3,572,112,624

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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Advisor Monitoring

Firm Stability Insights

David M. Pabin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Pabin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALERA INVESTMENT ADVISORS, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MARSH & MCLENNAN SECURITIES CORPORATION

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

TOUCHSTONE CAPITAL CORPORATION

Primary Firm SEC Registration

ALERA INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/15/2014

Series 63

Date: 5/22/1991

SIE

Date: 10/1/2018

Series 6

Date: 10/21/1994

Series 22

Date: 6/6/1991

FINRA

Current Firm

ALERA INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALERA INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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