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DE

David V. Eck

Some features on this profile are disabled
CRD#: 2676320
DE

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 Victor Eck was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

July 25, 2005 - April 1, 2009

DALE BUCKNER, INC.

RIA
CRD#: 116342
AMARILLO, TX
Past

June 27, 2005 - May 16, 2016

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
AMARILLO, TX
Past

July 1, 1999 - June 29, 2005

INVESTMENT CENTERS OF AMERICA, INC.

RIA
CRD#: 16443
AMARILLO, TX
Past

July 1, 1999 - June 29, 2005

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

November 2, 1998 - June 30, 1999

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

January 18, 1996 - November 2, 1998

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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".
DB
DALE BUCKNER, INC.
ASSET PLANNING GROUP | DALE BUCKNER, INC. DBA DALE BUCKNER AND ASSET PLANNING GROUP | DALE BUCKNER, INC. | DALE BUCKNER, INC DBA DALE BUCKNER AND ASSET PLANNING GROUP | DALE BUCKNER AND ASSET PLANNING GROUP | DALE BUCKNER | ASSET PLANNING GROUP, INC.

CRD#: 116342 / SEC#: 801-110346

RIA
Registered Investment Advisory firm - (4/25/2017 Approved)
Texas
Registered Investment Advisory firm - (4/27/2017 Terminated)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1996
General Securities Representative Examination

Current Firm

DB
DALE BUCKNER, INC.
ASSET PLANNING GROUP | DALE BUCKNER, INC. DBA DALE BUCKNER AND ASSET PLANNING GROUP | DALE BUCKNER, INC. | DALE BUCKNER, INC DBA DALE BUCKNER AND ASSET PLANNING GROUP | DALE BUCKNER AND ASSET PLANNING GROUP | DALE BUCKNER | ASSET PLANNING GROUP, INC.

CRD#: 116342 / SEC#: 801-110346

RIA
Registered Investment Advisory firm - (4/25/2017 Approved)
Texas
Registered Investment Advisory firm - (4/27/2017 Terminated)
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Contact information

Main Address
301 S. Polk Suite 420, Amarillo, TX 79101
Mailing Address
P.o. Box 9700, Amarillo, TX 79105-9700
Phone number
+1 (806) 358-7977
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DALE BUCKNER, INC. (4/17/2025)
BRETT HANSEN SUPPLEMENT TO BROCHURE (3/28/2025)
DALE BUCKNER SUPPLEMENT TO BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts837
AUM (Assets Under Management)$ 167,538,733

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.

Company Information

DALE BUCKNER, INC.

CRD#: 116342

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