David D. Harkin

DES MOINES INVESTMENTS

Des Moines, IA 50315-5821

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CRD#: 2369348

Professional summary

David Daniel Harkin, CFP®, ChFC®, CLU®, who also goes by David Harkin, is a registered financial advisor currently at DES MOINES INVESTMENTS, LLC located in Des Moines, Iowa.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Harkin

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) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) DAVID HARKIN (NON-INVESTMENT RELATED), 2 EAST ARMY POST RD., DES MOINES, IA 50315; MANAGE 2 RENTAL PROPERTIES; OWNER; STARTED 8/10/05; 15HRS/MO, 0/TRADE HRS; REPAIR/ MAINTENANCE OF PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Daniel Harkin'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®

CFP^®

Certified Financial Planner

Start date: 1998

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 25, 2008 - Present

DES MOINES INVESTMENTS, LLC

Office #1: 2 East Army Post Rd Suite 2, Des Moines, IA 50315-5821

RIA

CRD#: 146322

Des Moines, IA

Past

November 16, 2006 - July 10, 2008

STONEFIELD INVESTMENT ADVISORY, INC.

RIA

CRD#: 113802

DES MOINES, IA

Past

November 15, 2006 - November 11, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

DES MOINES, IA

Past

January 1, 1999 - November 15, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DES MOINES, IA

Past

January 22, 1996 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 22, 1996 - November 15, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DES MOINES, IA

Past

March 1, 1995 - April 5, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 8, 1994 - January 18, 1995

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

DES MOINES INVESTMENTS, LLC

DES MOINES INVESTMENTS, LLC | FORT DES MOINES FINANCIAL SERVICES, INC. | FDM FINANCIAL ADVISORY

CRD#: 146322 / SEC#: 801-122812

RIA

Registered Investment Advisory firm - (3/3/2022 Approved)

Iowa

Registered Investment Advisory firm - (4/13/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/11/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Iowa
(1/25/2008)

IAR

Missouri
(11/9/2022)

IAR

Texas
(6/14/2022)

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

Series 63

Date: 9/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/11/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/24/1993

National Commodity Futures Examination

Current Firm

DES MOINES INVESTMENTS, LLC

DES MOINES INVESTMENTS, LLC | FORT DES MOINES FINANCIAL SERVICES, INC. | FDM FINANCIAL ADVISORY

CRD#: 146322 / SEC#: 801-122812

RIA

Registered Investment Advisory firm - (3/3/2022 Approved)

Iowa

Registered Investment Advisory firm - (4/13/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/11/2022 Terminated)

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Contact information

Main Address

2 East Army Post Rd Suite 2, Des Moines, IA 50315-5821

Mailing Address

Phone number

(515) 777-1149

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DSMI FORM ADV 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	750
AUM (Assets Under Management)	$ 190,000,000

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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David D. Harkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Daniel Harkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEFIELD INVESTMENT ADVISORY, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

A. G. EDWARDS & SONS, INC.

EDWARD JONES

Primary Firm SEC Registration

DES MOINES INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/1994

SIE

Date: 11/11/2014

Series 7

Date: 9/6/1994

Series 3

Date: 5/24/1993

Current Firm

DES MOINES INVESTMENTS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DES MOINES INVESTMENTS, LLC

TRUST BUT VERIFY

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