Dave J Torggler
Professional Summary
Dave J Torggler, who also goes by Dave John Torggler, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Covington, Kentucky and FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky. Dave is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Dave has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave John Torggler
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
Disclosures on record.
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.
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
Current Firm
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
Contact Information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698Phone Number
(617) 563-7000# of Employees
17,112SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,973,512AUM (Assets Under Management)
$1,370,125,325,211Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2026 | Cover Page | Report |
| 09/24/2025 | Cover Page | Report |
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
Primary Firm SEC Registration
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
State Registrations and Notice Filings
(12/17/2003)
(3/31/2025)
(1/19/2022)
(5/17/2022)
(3/31/2025)
(1/19/2022)
(3/31/2025)
(1/19/2022)
(7/9/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1992About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1996SRO Registrations
SRO Registrations
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES
CRS (Client Relationship Summary) - RIA
Click below to view Dave J Torggler's CRS (Customer Relationship Summary).
Similar Advisors
SIMPLICITY WEALTH
VALIDUS CAPITAL LLC
COMERICA SECURITIES