David S. Sutphin

FINANCIAL ADVISORY PARTNERS

Winter Park, FL 32789

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CRD#: 2747358

Professional summary

David Steele Sutphin is a registered financial advisor currently at FINANCIAL ADVISORY PARTNERS, LLC located in Winter Park, Florida and NBC SECURITIES, INC. located in Winter Park, Florida.

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 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 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.

FINANCIAL ADVISORY PARTNERS LLC/INVESTMENT RELATED/350 KILLARNEY DRIVE WINTER PARK, FL/FLORIDA LLC OWNED BY SUTPHIN, VANDENBERG REPRESENTING OUR FINANCIAL ADVISORY PRACTICE/BUSINESS PARTNERSHIP OF VANDENBERG SUTPHIN AND FORMAL REFERRAL NETWORK/START DATE 3/1/2006/160 HRS PER MONTH, FULL TIME/PARTNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Steele Sutphin'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

January 7, 2021 - Present

FINANCIAL ADVISORY PARTNERS, LLC

Office #1: 1201 S. Orlando Avenue Suite 350, Winter Park, FL 32789

RIA

CRD#: 310914

Winter Park, FL

Current

March 10, 2006 - Present

NBC SECURITIES, INC.

Office #1: 1201 South Orlando Ave Suite 350, Winter Park, FL 32789

RIA

CRD#: 17870

Winter Park, FL

Past

March 13, 2006 - August 19, 2021

NBC SECURITIES, INC.

RIA

CRD#: 17870

ORLANDO, FL

Past

November 15, 2005 - March 15, 2006

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

ORLANDO, FL

Past

April 7, 2005 - March 15, 2006

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

April 7, 2004 - July 9, 2004

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

TAMPA, FL

Past

February 12, 2003 - April 2, 2004

AMSOUTH INVESTMENT SERVICES, INC.

RIA

CRD#: 15692

TAMPA, FL

Past

February 10, 2003 - October 26, 2004

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

March 29, 2001 - February 5, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

March 26, 2001 - March 29, 2001

ALLEN & COMPANY OF FLORIDA, LLC

CRD#: 25

LAKELAND, FL

Past

December 7, 2000 - March 19, 2001

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 6, 2000 - November 17, 2000

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

April 1, 1998 - October 22, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

July 2, 1996 - April 1, 1998

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

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".

FINANCIAL ADVISORY PARTNERS, LLC

CRD#: 310914 / SEC#: 801-120062

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

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.

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

Alabama
(6/17/2008)

Florida
(3/10/2006)

IAR

Florida
(1/7/2021)

Georgia
(7/11/2022)

Idaho
(3/2/2023)

Michigan
(3/10/2011)

New York
(11/8/2022)

Ohio
(7/11/2022)

Tennessee
(8/2/2017)

IAR

Texas
(9/14/2021)

Virginia
(12/19/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/13/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/24/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL ADVISORY PARTNERS, LLC

CRD#: 310914 / SEC#: 801-120062

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

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Contact information

Main Address

1201 S. Orlando Avenue Suite 350, Winter Park, FL 32789

Mailing Address

Phone number

(407) 478-6314

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 (3/18/2025)

FINANCIAL ADVISORY PARTNERS, LLC ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	515
AUM (Assets Under Management)	$ 325,063,700

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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Firm Stability Insights

David S. Sutphin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Steele Sutphin's CRS (Customer Relationship Summary).

Certified licenses

Experience

NBC SECURITIES, INC.

NBC SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

AMSOUTH INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

ALLEN & COMPANY OF FLORIDA, LLC

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BARNETT INVESTMENTS, INC.

Primary Firm SEC Registration

FINANCIAL ADVISORY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2001

Series 63

Date: 11/12/1997

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1996

Series 53

Date: 5/13/1997

Series 4

Date: 10/24/1996

Series 24

Date: 8/22/1996

FINRA

Current Firm

FINANCIAL ADVISORY PARTNERS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL ADVISORY PARTNERS, LLC

TRUST BUT VERIFY

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