David J. Cottam

CARY STREET PARTNERS

Morristown, NJ 07960

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CRD#: 2716994

Professional summary

David Joseph Cottam is a registered financial advisor currently at CARY STREET PARTNERS located in Morristown, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. David has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view David Joseph Cottam'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®

None

Experience

Current

March 22, 2022 - Present

CARY STREET PARTNERS

Office #1: 1200 Mt. Kemble Avenue Suite 100, Morristown, NJ 07960

RIA

CRD#: 128545

Morristown, NJ

Past

August 5, 2005 - May 23, 2022

KENSINGTON FINANCIAL ADVISORS LLC

RIA

CRD#: 136346

FLORHAM PARK, NJ

Past

May 8, 2002 - June 20, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FLORHAM PARK, NJ

Past

December 17, 2001 - June 20, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 11, 1996 - January 8, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 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
(1/2/2026)

IAR

Colorado
(1/6/2026)

IAR

Connecticut
(1/2/2026)

IAR

Michigan
(4/17/2026)

IAR

New Jersey
(3/22/2022)

IAR

New York
(1/2/2026)

IAR

North Carolina
(12/5/2023)

IAR

Pennsylvania
(1/8/2026)

IAR

South Carolina
(1/2/2026)

IAR

Texas
(12/5/2023)

IAR

Virginia
(1/30/2024)

IAR

Wyoming
(1/2/2026)

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: 5/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/10/1996

General Securities Representative Examination

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

PREMIUM

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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. Cottam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Cottam's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS

KENSINGTON FINANCIAL ADVISORS LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/1996

Series 63

Date: 4/25/1996

Series 7

Date: 4/10/1996

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

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