DS
David R. Seibert
ADVISORS ASSET MANAGEMENT
MURFREESBORO, TN
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CRD#: 2738072
DS
Professional summary
David Ray Seibert, who also goes by Dave Seibert, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Murfreesboro, Tennessee.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Seibert
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.
CRS (Client Relationship Summary) - RIA
Click below to view David Ray Seibert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Ray Seibert'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®
NoneExperience
Current
March 31, 2009 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
MURFREESBORO, TN
Current
February 5, 2009 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 48 South Service Rd Suite 210, Melville, NY 11747RIA
BD
CRD#: 46727
Melville, NY
Past
September 22, 2006 - February 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MURFREESBORO, TN
Past
February 28, 2006 - February 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 1, 2001 - February 21, 2006
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
January 10, 2001 - June 6, 2001
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
September 1, 1997 - July 6, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
November 26, 1996 - September 4, 1997
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/10/2024)
RR
Alaska(12/10/2024)
RR
Arizona(12/10/2024)
RR
Arkansas(12/10/2024)
RR
California(12/10/2024)
IAR
Colorado(3/31/2009)
RR
Colorado(12/10/2024)
RR
Connecticut(12/10/2024)
RR
Delaware(12/10/2024)
RR
District of Columbia(12/10/2024)
RR
Florida(12/10/2024)
RR
Georgia(12/10/2024)
RR
Hawaii(12/10/2024)
RR
Idaho(12/10/2024)
RR
Illinois(12/10/2024)
RR
Indiana(12/10/2024)
RR
Iowa(12/10/2024)
RR
Kansas(12/10/2024)
RR
Kentucky(12/10/2024)
RR
Louisiana(12/10/2024)
RR
Maine(12/10/2024)
RR
Maryland(12/10/2024)
RR
Massachusetts(12/10/2024)
RR
Michigan(12/10/2024)
RR
Minnesota(12/10/2024)
RR
Mississippi(12/10/2024)
RR
Missouri(12/10/2024)
RR
Montana(12/10/2024)
RR
Nebraska(12/10/2024)
RR
Nevada(12/10/2024)
RR
New Hampshire(12/10/2024)
RR
New Jersey(12/10/2024)
RR
New Mexico(12/10/2024)
RR
New York(12/10/2024)
RR
North Carolina(12/10/2024)
RR
North Dakota(12/10/2024)
RR
Ohio(12/10/2024)
RR
Oklahoma(12/10/2024)
RR
Oregon(12/10/2024)
RR
Pennsylvania(12/10/2024)
RR
Rhode Island(12/10/2024)
RR
South Carolina(12/10/2024)
RR
South Dakota(12/10/2024)
RR
Tennessee(2/5/2009)
IAR
Tennessee(9/27/2023)
RR
Texas(12/10/2024)
RR
Utah(12/10/2024)
RR
Vermont(12/10/2024)
RR
Virginia(12/10/2024)
RR
Washington(12/10/2024)
RR
West Virginia(12/10/2024)
RR
Wisconsin(12/10/2024)
RR
Wyoming(12/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
