David A. Kahn

NORTH SCOTTSDALE WEALTH ADVISORS

SCOTTSDALE, AZ 85262

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CRD#: 2518226

Professional summary

David Alan Kahn, who also goes by David A Kahn, is a registered financial advisor currently at NORTH SCOTTSDALE WEALTH ADVISORS, LLC located in Scottsdale, Arizona.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David A Kahn

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) - RIA

Click below to view David Alan Kahn'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

September 28, 2016 - Present

NORTH SCOTTSDALE WEALTH ADVISORS, LLC

Office #1: 10045 East Dynamite Boulevard Suite F225, Scottsdale, AZ 85262

RIA

CRD#: 284449

SCOTTSDALE, AZ

Past

June 1, 2009 - September 9, 2016

MORGAN STANLEY

RIA

CRD#: 149777

SCOTTSDALE, AZ

Past

June 1, 2009 - September 9, 2016

MORGAN STANLEY

CRD#: 149777

SCOTTSDALE, AZ

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SCOTTSDALE, AZ

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SCOTTSDALE, AZ

Past

February 24, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SCOTTSDALE, AZ

Past

February 24, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SCOTTSDALE, AZ

Past

January 10, 1997 - March 14, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MESA, AZ

Past

September 19, 1994 - March 14, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MESA, AZ

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

Arizona
(9/28/2016)

IAR

Texas
(11/4/2016)

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 65

Date: 10/24/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/17/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/16/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/29/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/22/2006

General Securities Sales Supervisor - Options Module Examination

Current Firm

NORTH SCOTTSDALE WEALTH ADVISORS, LLC

CRD#: 284449 / SEC#: 801-108295

RIA

Registered Investment Advisory firm - (11/30/2016 Terminated)

Arizona

Registered Investment Advisory firm - (11/22/2016 Approved)

Texas

Registered Investment Advisory firm - (11/4/2016 Conditional Restricted)

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).

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Contact information

Main Address

10045 East Dynamite Boulevard Suite F225, Scottsdale, AZ 85262

Mailing Address

Phone number

(480) 699-2545

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 59,118,528

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 A. Kahn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Kahn's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/1994

Series 63

Date: 9/27/1994

SIE

Date: 9/9/2016

Series 31

Date: 11/17/2008

Series 7

Date: 9/16/1994

Series 10

Date: 12/29/2006

Series 9

Date: 12/22/2006

Current Firm

NORTH SCOTTSDALE WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORTH SCOTTSDALE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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