David L. Tippets
Professional summary
David L Tippets, who also goes by Dave Lawrence Tippets, David Lawrence Tippets, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Heber City, Utah and ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David L Tippets's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2023 - Present
ASCENSUS INVESTMENT ADVISORS, LLC
December 12, 2023 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746May 19, 2021 - May 19, 2023
SOLTIS INVESTMENT ADVISORS, LLC
January 9, 2017 - February 1, 2021
PRINCIPAL SECURITIES, INC.
December 5, 2011 - February 1, 2021
PRINCIPAL SECURITIES, INC.
October 28, 2005 - October 7, 2011
CAPITAL CLIENT GROUP, INC.
December 10, 1998 - October 3, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
November 8, 1995 - January 6, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2024)
(3/7/2024)
(3/1/2024)
(5/29/2024)
(3/22/2024)
(12/13/2023)
(8/12/2025)
(8/12/2025)
(12/19/2023)
(8/12/2025)
(3/6/2024)
(3/6/2024)
(8/15/2025)
(3/1/2024)
(8/12/2025)
(3/4/2024)
(3/5/2024)
(3/7/2024)
Exams
Series 7TO
Date: 7/7/2023
General Securities Representative ExaminationSeries 6TO
Date: 7/7/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 11,649,896,048 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 | ||
| 01/30/2024 | ||
| 01/26/2023 |
Red Flags
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