David P. Wolfensperger

STEWART WEALTH MANAGEMENT

SAN RAFAEL, CA 94903

Some features on this profile are disabled

CRD#: 2406261

Professional summary

David Potter Wolfensperger, CFP® is a registered financial advisor currently at STEWART WEALTH MANAGEMENT, INC. located in San Rafael, California.

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 66, Series 63, Series 7, Series 10 and Series 9 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) HANS R. WOLFENSPERGER GST TRUST; INVESTMENT-RELATED: YES; 250 LOCUST AVE, SAN RAFAEL, CA 94901; NATURE OF BUSINESS: INVESTMENTS; POSITION/TITLE: TRUSTEE; START DATE: 3/31/2008; HOURS/MONTH DEVOTED: 15 HOURS DURING SECURITIES TRADING HOURS; DUTIES: INVESTMENTS, PAY FOR SCHOOL. (2) POTTER-TAYLOR LLC; NOT INVESTMENT RELATED; 3600 AMERICAN RIVER DR. #200, SACRAMENTO, CA; NATURE OF BUSINESS: MINERAL RIGHTS; POSITION/TITLE: PARTNER; 4TH GENERATION OWNER; ZERO HOURS DEVOTED PER MONTH; ZERO HOURS DURING TRADING HOURS; DUTIES: NONE. (3) KINGS COUNTY DEVELOPMENT LP; NOT INVESTMENT RELATED; NATURE OF BUSINESS: MINERAL RIGHTS; POSITION/TITLE: PARTNER, OWNER; 4TH GENERATION OWNER; ZERO HOURS DEVOTED PER MONTH; ZERO HOURS DURING TRADING HOURS; DUTIES: NONE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Potter Wolfensperger'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: 2015

Experience

Current

February 15, 2018 - Present

STEWART WEALTH MANAGEMENT, INC.

Office #1: 1050 Northgate Drive Suite 333, San Rafael, CA 94903

RIA

CRD#: 143425

SAN RAFAEL, CA

Past

September 29, 2010 - December 18, 2012

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

SAN FRANCISCO, CA

Past

July 6, 2006 - December 18, 2012

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

SAN FRANCISCO, CA

Past

August 12, 2005 - March 13, 2006

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

August 12, 2005 - March 13, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 10, 2004 - July 19, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

WALNUT CREEK, CA

Past

March 10, 2004 - July 19, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 2, 2001 - March 10, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

December 20, 2000 - March 10, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 11, 1994 - November 28, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

STEWART WEALTH MANAGEMENT, INC.

CRD#: 143425 / SEC#: 801-110534

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/22/2017 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

California
(2/15/2018)

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: 2/9/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/30/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/16/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

STEWART WEALTH MANAGEMENT, INC.

CRD#: 143425 / SEC#: 801-110534

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/22/2017 Terminated)

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

1050 Northgate Drive Suite 333, San Rafael, CA 94903

Mailing Address

Phone number

(415) 499-1544

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A/2B DISCLOSURE BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,541
AUM (Assets Under Management)	$ 501,223,833

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.

Similar Advisors

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David P. Wolfensperger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Potter Wolfensperger's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

STEWART WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2001

Series 63

Date: 7/22/1994

Series 7

Date: 7/5/1994

Series 10

Date: 5/30/2002

Series 9

Date: 4/16/2002

Current Firm

STEWART WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEWART WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors