AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DZ

David C. Zee

Some features on this profile are disabled
CRD#: 2810077
DZ

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 Chaohsiang Zee was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 5 firms and has passed the Series 65, Series 63, Series 3 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

March 5, 2015 - February 8, 2018

WILSHIRE ASSOCIATES INCORPORATED

RIA
CRD#: 6210
SANTA MONICA, CA
Past

January 19, 2006 - April 11, 2013

PAYDEN & RYGEL DISTRIBUTORS

BD
CRD#: 29868
LOS ANGELES, CA
Past

May 15, 2001 - May 4, 2005

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
LOS ANGELES, CA
Past

March 30, 2001 - May 4, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

June 12, 1997 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

November 20, 1996 - May 28, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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".
WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE | WILSHIRE ASSOCIATES INCORPORATED | WILSHIRE ASSOCIATES | WILSHIRE ADVISORS, LLC | WILSHIRE ADVISORS LLC

CRD#: 6210 / SEC#: 801-36233, 8-23852

RIA
Registered Investment Advisory firm - SEC (3/16/1990 Approved)
BD
Terminated by SEC on 01/17/2005

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: 3/27/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/31/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1996
General Securities Representative Examination

Current Firm

WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE | WILSHIRE ASSOCIATES INCORPORATED | WILSHIRE ASSOCIATES | WILSHIRE ADVISORS, LLC | WILSHIRE ADVISORS LLC

CRD#: 6210 / SEC#: 801-36233, 8-23852

RIA
Registered Investment Advisory firm - SEC (3/16/1990 Approved)
BD
Terminated by SEC on 01/17/2005
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1299 Ocean Avenue Suite 600, Santa Monica, CA 90401-1085
Mailing Address
Phone number
(310) 451-3051
Established
California since 02/07/1972
Firm type
Corporation
Fiscal year end
December
# of Employees
270

SEC notice filing (53 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

WILSHIRE ADV PART 2A (4/1/2025)

Direct owners and executive officers

NamePositionCRD#
TITO, DENNIS ANTHONYDIRECTOR & CHIEF EXECUTIVE OFFICER447344
RAAB, ROBERT JOHNDIRECTOR1100389
BONAFEDE, JULIA KATHLEENDIRECTOR2611534
CONWAY, JOSEPH RICHARDCHIEF COMPLIANCE OFFICER1666588
HEWSENIAN, ROSALIND MARGARETDIRECTOR2302664
KUBEREK, ROBERT CHARLESDIRECTOR2302665
LOO, CECILIA INFEEDIRECTOR2428491
LYNCH, THOMAS KEVINDIRECTOR1595142
MANNING, ALAN LAWRENCECHIEF LEGAL OFFICER1209408
NAPOLI, MICHAEL JOSEPH JRDIRECTOR1267378
SLAWSON, SAN OLIVIAPRINCIPAL FINANCIAL OFFICER1110908
YATA, HOWARD TAMOTSUDIRECTOR2302666

Regulatory assets under management

Total Number of Accounts287,663
AUM (Assets Under Management)$ 99,099,327,356

Disclosures

Regulatory Event4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/29/2025
Cover Page
Report
03/31/2025
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.

Company Information

WILSHIRE ASSOCIATES INCORPORATED

WILSHIRE ASSOCIATES INCORPORATED

CRD#: 6210

TRUST BUT VERIFY

Monitor David Zee

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.