David L. White

DLW FINANCIAL MANAGEMENT

Maple Grove, MN

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CRD#: 2265071

Professional summary

David Lee White is a registered financial advisor currently at DLW FINANCIAL MANAGEMENT, LLC located in Maple Grove, Minnesota.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. David has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 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. 8/24/07 - DBA/ZURICH AWES WEALTH MANAGEMENT, INC./PLYMOUTH, MN. 2. 03/17/09 - NON-VARIABLE INSURANCE, ZURICH AWES FINANCIAL MANAGEMENT, INC. I AM LOOKING FO PLACE THE ABOVE NON-VARIABLE PRODUCTS WITH THE CLIENTS OF ZURICH AWES FINANCIAL MANAGEMENT, INC. I AM LICENSED IN MN AND WI FOR INSURANCE. 1% OF TIME. 3.01/27/2010 - REGISTERED INVESTMENT ADVISOR- ZURICH AWES FINANCIAL MANAGEMENT, INC.TO DATE I HAVE NOT PROVIDED FINANCIAL PLANS OR ADVISE FOR HOURLY OR FIXED FEES AND DO NOT ANTICIPATE DOING SO IN THE FUTURE. IF I DO IT WILL BE MANAGED UNDER THE GUIDELINES OF ZURICH AWES FINANCIAL MANAGEMENT, INC. AND LPL FINANCIAL, 10% OF THE TIME 4. 01/13/2013 DLW FINANCIAL MANAGEMENT, LLC A REGISTERED INVESTMENT ADVISER LOCATED AT 1432 12TH AVE NE, ROCHESTER, MN 55906. POSITION IS PRESIDENT AND REGISTERED INVESTMENT ADVISOR FOR 100% OF THE TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee White'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®

None

Experience

Current

May 10, 2016 - Present

DLW FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 166516

Maple Grove, MN

Past

August 24, 2007 - May 26, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

PLYMOUTH, MN

Past

August 24, 2007 - May 26, 2010

LPL FINANCIAL LLC

CRD#: 6413

PLYMOUTH, MN

Past

January 20, 2006 - July 30, 2007

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MAPLE GROVE, MN

Past

October 19, 1992 - May 11, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Minnesota
(5/10/2016)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/17/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/19/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DLW FINANCIAL MANAGEMENT, LLC

CRD#: 166516 / SEC#:

Minnesota

Registered Investment Advisory firm - (1/15/2013 Approved)

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Contact information

Main Address

Maple Grove, MN

Mailing Address

Phone number

(612) 839-2496

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 8,632,636

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David L. White

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee White's CRS (Customer Relationship Summary).

Certified licenses

Experience

DLW FINANCIAL MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2006

Series 63

Date: 8/17/1992

Series 7

Date: 1/19/2006

Series 6

Date: 8/14/1992

Current Firm

DLW FINANCIAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DLW FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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