David J. Flynn

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CRD#: 2465150

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Jonathan Flynn was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1994. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 17, 2017 - June 6, 2019

TRADITION WEALTH MANAGEMENT LLC

RIA

CRD#: 128314

EDINA, MN

Past

January 25, 2017 - June 28, 2019

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

EDINA, MN

Past

December 8, 2015 - December 31, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Edina, MN

Past

December 8, 2015 - December 31, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

EDINA, MN

Past

January 17, 2014 - December 22, 2015

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

MINNETONKA, MN

Past

December 15, 2011 - December 22, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MINNETONKA, MN

Past

April 12, 2007 - December 31, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

BLOOMINGTON, MN

Past

February 26, 2007 - July 12, 2011

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

BLOOMINGTON, MN

Past

January 18, 2006 - January 25, 2007

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

October 15, 2002 - August 9, 2004

NORTHWINDS MARKETING GROUP LLC

CRD#: 113236

MINNEAPOLIS, MN

Past

March 9, 2001 - October 22, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 9, 2001 - October 22, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 3, 1999 - October 25, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 3, 1999 - October 25, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 5, 1998 - November 25, 1998

MAM SECURITIES, LLC

CRD#: 41140

SAN FRANCISCO, CA

Past

April 27, 1994 - January 5, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 27, 1994 - January 5, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 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.

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 65

Date: 3/12/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/13/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/25/1994

General Securities Representative Examination

Current Firm

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 Approved)

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Contact information

Main Address

7601 France Avenue South Suite 100, Edina, MN 55435

Mailing Address

Phone number

(952) 563-6500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRADITION WEALTH MANAGEMENT ADVII (3/26/2025)

Regulatory assets under management

Total Number of Accounts	5,271
AUM (Assets Under Management)	$ 1,950,074,593

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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Advisor Monitoring

Firm Stability Insights

David J. Flynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

NORTHWINDS MARKETING GROUP LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MAM SECURITIES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TRADITION WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/2007

Series 63

Date: 2/28/1997

SIE

Date: 10/1/2018

Series 3

Date: 5/13/1997

Series 7

Date: 4/25/1994

Current Firm

TRADITION WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADITION WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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