DP
David L. Piatkowski
WAVERLY ADVISORS
COUNCIL BLUFFS, IA 51503-0816
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CRD#: 2768027
DP
Professional summary
David Lee Piatkowski is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Council Bluffs, Iowa.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Lee Piatkowski'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
January 10, 2025 - Present
WAVERLY ADVISORS, LLC
Office #1: 535 Broadway Suite 301, Council Bluffs, IA 51503-0816RIA
CRD#: 115332
COUNCIL BLUFFS, IA
Past
August 24, 2015 - March 20, 2025
DICKINSON INVESTMENT ADVISORS
RIA
CRD#: 115108
COUNCIL BLUFFS, IA
Past
March 5, 2007 - August 12, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
OMAHA, NE
Past
December 13, 2005 - August 12, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
OMAHA, NE
Past
September 3, 2004 - November 3, 2005
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
August 16, 2001 - September 10, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
January 17, 2001 - June 11, 2001
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
July 18, 1996 - May 7, 1997
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 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.Highlighted states indicate IAR registrations
IAR
Iowa(1/10/2025)
IAR
Nebraska(1/28/2025)
IAR
Texas(1/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
384
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34,313 |
| AUM (Assets Under Management) | $ 28,263,743,199 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 02/16/2024 | ||
| 06/15/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WAVERLY ADVISORS, LLC
CRD#: 115332Council Bluffs, IA 51503-0816TRUST BUT VERIFY
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