David R. Rousselot

DWR WEALTH MANAGEMENT

SAN JOSE, CA 95126

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CRD#: 2594478

Professional summary

David Rex Rousselot, CFP®, who also goes by Rex Rousselot, is a registered financial advisor currently at DWR WEALTH MANAGEMENT, LLC located in San Jose, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. David has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rex Rousselot

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.

NR ROUSSELOT & SONS, NOT INVESTMENT RELATED, APPROXIMATELY 5 HOURS PER MONTH STARTED 1/1980 17485 MONTEREY ROAD, SUITE 302 MORGAN HILL, CA 95037

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Rex Rousselot'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

Experience

Current

March 17, 2005 - Present

DWR WEALTH MANAGEMENT, LLC

Office #1: 1884 The Alameda, San Jose, CA 95126

RIA

CRD#: 133743

SAN JOSE, CA

Past

March 15, 2000 - November 20, 2001

NEXT ADVISORS SECURITIES

CRD#: 39282

SAN JOSE, CA

Past

October 22, 1998 - January 27, 2000

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

March 15, 1995 - February 21, 1997

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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".

DWR WEALTH MANAGEMENT, LLC

CRD#: 133743 / SEC#: 801-122140

RIA

Registered Investment Advisory firm - (8/24/2021 Approved)

California

Registered Investment Advisory firm - (10/16/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2021 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
(3/17/2005)

IAR

Texas
(5/8/2012)

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: 7/6/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/14/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DWR WEALTH MANAGEMENT, LLC

CRD#: 133743 / SEC#: 801-122140

RIA

Registered Investment Advisory firm - (8/24/2021 Approved)

California

Registered Investment Advisory firm - (10/16/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2021 Terminated)

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Contact information

Main Address

1884 The Alameda, San Jose, CA 95126

Mailing Address

Phone number

(408) 260-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03-20 DWR WEALTH MANAGEMENT FORM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	545
AUM (Assets Under Management)	$ 179,620,318

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 R. Rousselot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Rex Rousselot's CRS (Customer Relationship Summary).

Certified licenses

Experience

DWR WEALTH MANAGEMENT, LLC

NEXT ADVISORS SECURITIES

AMERICAN GENERAL SECURITIES INCORPORATED

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

DWR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2000

Series 63

Date: 3/14/1995

Series 6

Date: 3/14/1995

Current Firm

DWR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DWR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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