DS
David W. Stockmeier
THE ASCENT GROUP
Virginia Beach, VA 23462
Some features on this profile are disabled
CRD#: 2206260
DS
Professional summary
David Wayne Stockmeier is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Virginia Beach, Virginia and OSAIC WEALTH, INC. located in Virginia Beach, Virginia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.
1) THE ASCENT GROUP, LLC POS: IA Rep NATURE: LLC is an SEC Registered RIA INVESTMENT RELATED: Yes # OF HRS: 160 SECURITIES TRADING HRS: 160 START DATE: 5/15/21 ADDRESS: 192 Ballard Ct, Ste 400, Virginia Beach VA 23462 DESCRIPT: will provide investment advice to clients in return for an advisory fee. 2) BALLARD SUMMIT, LLC POS: Member NATURE: Purchase building company. INVESTMENT RELATED: No # OF HRS: 1 SECURITIES TRADING HRS: 0 START DATE: 9/1/22 ADDRESS: 192 Ballard Court, Ste 400, Virginia Beach VA 23462 DESCRIPT: partial owner & tenant of 192 Ballard Court 3) ALERA GROUP, INC POS: Associate NATURE: My Agency sold its assets to Alera Group, inc. Moving forward, I will be employed by Alera Group, Inc., but will continue to service my BD clients as a RR. INVESTMENT RELATED: Yes NUMBER OF HRS: 160 SECURITIES TRADING HRS: 160 START DATE: 1/2/23 ADDY: 3 Parkway N, Ster 500, Deerfield IL 60015 DESCRIPT: will continue to act as a RR, IAR/insurance agent as applicable to continue serving my existing & new clients 4) EXECUTIVE COURT, LLC POS: Partner NATURE: LLC INVESTMENT RELATED: Yes # OF HRS: 1 SECURITIES TRADING HRS: 0 START DATE: 9/1/08 ADDY: 908 Executive Ct, Chesapeake VA 23320 DESCRIPT: Partner 5) INSURANCE POS: Agent NATURE: Sale of Fixed Insurance Products INVESTMENT RELATED: Yes # OF URS: 30 SECURITIES TRADING HRS: 20 START DATE: 1/2/90 ADDY: 192 Ballard Ct, Virginia Beach, VA 23462 DESCRIPT: Sales 6) NEW DOMINION PICTURES, LLC POS: Trustee NATURE: cable television production & distribution company INVESTMENT RELATED: No # OF HRS: 1 SECURITIES TRADING HRS: 0 START DATE: 1/1/17 ADDY: Chesapeake VA 23321 DESCRIPT: 3-4 annual meetings to discuss operations/sales of the company 7) OLD DOMINION ATHLETIC FOUNDATION (ODAF) POS: Trustee NATURE: raises money and support for the athletic programs of Old Dominion Uni INVESTMENT RELATED: No # OF HRS: 2 SECURITIES TRADING HRS: 0 START DATE: 1/1/22 ADDY: 417 Monarch Way, 4th Floor, Norfolk VA 23508 DESCRIPT: Foundation meetings and actively participate (as a spectator) in the various athletic programs of Old Dominion University. 8) POINDEXTER STREET, LLC POSITION: Partner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HRS: 1 SECURITIES TRADING HRS: 0 START DATE: 10/1/07 ADDY: 752 Virginia Dare Dr, Virginia Beach VA 23451 DESCRIPT: Partner 9) SUMMIT GROUP OF VIRGINIA POSITION: Partner NATURE: DBA for conducting business INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/1996 ADDY: 192 Ballard Court, Suite 400, Virginia Beach VA 23462, United States DESCRIPTION: Summit Group of Virginia has been our DBA for over 30 years. 10) BALLARD STOCKMEIER, LLC POSITION: Member NATURE: Holds membership in Ballard Summit LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 7/26/22 ADDY: 752 Virginia Dare Dr, Virginia Beach VA 23451 DESCRIPTION: No Duties 11) WYNN STOCK POSITION: Member NATURE: LLC investment INVESTMENT RELATED: No # OF HOURs: 0 SECURITIES TRADING HOURS: 0 START DATE: 9/1/23 ADDY: 752 Virginia Dare Drive, Virginia Beach VA 23451 DESCRIPTION: None/passive investment 12) RICO ONE LLC POSITION: Member NATURE: LLC established to hold personal investments with family. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2024 ADDRESS: 1800 North Alanton Drive, Virginia Beach VA 23454 DESCRIPTION: Investor in the LLC, no duties. 13) INDEPENDENT INSURANCE AGENT - FIXED PRODUCTS POSITION: Agent NATURE: Sale of Fixed Insurance Products INVESTMENT RELATED: Yes NUMBER OF HRS: 30 SECURITIES TRADING HRS: 20 START DATE: 1/2/90 ADDRESS: 192 Ballard Court, Ste 400, Virginia Beach VA 23462 DESCRIPTION: Sales 14) SGVA HOLDINGS POSITION: Owner NATURE: LLC for holding ownership in Alera Group, Inc. INVESTMENT RELATED: Yes NUMBER OF #: 0 SECURITIES TRADING HRS: 0 START DATE: 1/2/23 ADDRESS: 192 Ballard Ct, Suite 400, Virginia Beach VA 23462 DESCRIPTION: No Duties/responsibilities
CRS (Client Relationship Summary) - RIA
Click below to view David Wayne Stockmeier'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®
NoneExperience
Current
June 2, 2021 - Present
THE ASCENT GROUP, LLC
Office #1: 192 Ballard Court Suite 400, Virginia Beach, VA 23462RIA
CRD#: 314424
Virginia Beach, VA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 192 Ballard Court Suite 400, Virginia Beach, VA 23462RIA
BD
CRD#: 23131
Virginia Beach, VA
Past
February 1, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Virginia Beach, VA
Past
June 30, 2006 - June 7, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
VIRGINIA BEACH, VA
Past
June 30, 2006 - January 26, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
VIRGINIA BEACH, VA
Past
April 4, 2000 - June 30, 2006
CARILLON INVESTMENTS, INC.
RIA
CRD#: 14646
VIRGINIA BEACH, VA
Past
March 2, 2000 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
VIRGINIA BEACH, VA
Past
January 29, 1992 - March 17, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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".
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 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.RR
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
RR
Alabama(8/23/2024)
RR
Arizona(5/1/2025)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Connecticut(8/23/2024)
RR
Delaware(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Hawaii(8/23/2024)
RR
Idaho(5/1/2025)
RR
Illinois(8/23/2024)
RR
Indiana(8/23/2024)
RR
Iowa(8/23/2024)
RR
Kentucky(8/23/2024)
RR
Louisiana(8/23/2024)
RR
Maine(8/23/2024)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/23/2024)
RR
Missouri(8/23/2024)
RR
Montana(8/23/2024)
RR
New Hampshire(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New Mexico(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Ohio(5/2/2025)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
RR
South Dakota(5/1/2025)
RR
Tennessee(8/23/2024)
RR
Texas(8/23/2024)
RR
Utah(8/23/2024)
RR
Vermont(8/23/2024)
IAR
Virginia(6/2/2021)
RR
Virginia(8/23/2024)
RR
Washington(8/23/2024)
RR
West Virginia(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
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
THE ASCENT GROUP, LLC
CRD#: 314424Virginia Beach, VA 23462TRUST BUT VERIFY
Monitor David Stockmeier
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
