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DE

David L. Ellington

Some features on this profile are disabled
CRD#: 2211348
DE

Professional summary

David Lee Ellington was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, David had worked at 7 firms, which includes IPI WEALTH MANAGEMENT INC., INVESTMENT PLANNERS INC., HAYDEN HARPER FINANCIAL LLC, UVEST FINANCIAL SERVICES GROUP INC., CITIGROUP GLOBAL MARKETS INC., UCB INVESTOR SERVICES INC., MML INVESTORS SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 16, 2006 - December 10, 2010

IPI WEALTH MANAGEMENT, INC.

RIA
CRD#: 111872
CHARLOTTE, NC
Past

September 2, 2005 - December 10, 2010

INVESTMENT PLANNERS, INC.

BD
CRD#: 18557
HUNTERSVILLE, NC
Past

January 23, 2003 - December 31, 2005

HAYDEN HARPER FINANCIAL, LLC

RIA
CRD#: 111708
CHARLOTTE, NC
Past

June 25, 2002 - October 17, 2002

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
CHARLOTTE, NC
Past

June 8, 2000 - August 26, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

November 5, 1998 - April 26, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 21, 1997 - July 17, 1998

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

December 10, 1993 - February 9, 1995

UCB INVESTOR SERVICES, INC.

BD
CRD#: 21429
WHITEVILLE, NC
Past

March 25, 1992 - January 14, 1994

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".
IW
IPI WEALTH MANAGEMENT, INC.
IPI ASSET MANAGEMENT, INC. | VOGEL & COMPANY, LLC | KOSHINSKI ASSET MANAGEMENT, INC.-DBA IPI ASSET MANAGEMENT, INC. | KOSHINSKI ASSET MANAGEMENT, INC. DBA INVESTMENT PLANNERS | KOSHINSKI ASSET MANAGEMENT INC. | IPI WEALTH MANAGEMENT, INC. | IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA
Registered Investment Advisory firm - (11/1/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/6/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/24/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IW
IPI WEALTH MANAGEMENT, INC.
IPI ASSET MANAGEMENT, INC. | VOGEL & COMPANY, LLC | KOSHINSKI ASSET MANAGEMENT, INC.-DBA IPI ASSET MANAGEMENT, INC. | KOSHINSKI ASSET MANAGEMENT, INC. DBA INVESTMENT PLANNERS | KOSHINSKI ASSET MANAGEMENT INC. | IPI WEALTH MANAGEMENT, INC. | IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA
Registered Investment Advisory firm - (11/1/1999 Approved)
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Contact information

Main Address
226 W. Eldorado, Decatur, IL 62522
Mailing Address
P.o. Box 170, Decatur, IL 62525-0170
Phone number
(217) 425-6340
Established
Firm type
Fiscal year end
# of Employees
73

SEC notice filing (47 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

IPI WEALTH MANAGEMENT ADV2A (6/9/2025)

Regulatory assets under management

Total Number of Accounts10,743
AUM (Assets Under Management)$ 2,248,994,441

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

IPI WEALTH MANAGEMENT, INC.

CRD#: 111872

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