David William Novak
CFP®Professional Summary
David William Novak, CFP® is a registered financial advisor currently at NOVAK & POWELL FINANCIAL SERVICES, INC.. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 3 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
A.T. WHITEHEAD | NOVAK & POWELL FINANCIAL SERVICES, INC. | GATES INVESTMENTS, INC. | GATES FINANCIAL SERVICES, INC. | GATES FINANCIAL SERVICES, INC | GATES & POWELL FINANCIAL SERVICES, INC. | CARR CAPITAL MANAGEMENT
Contact Information
Main Address
146 Second St N Suite 310, St. Petersburg, FL 33701Phone Number
(727) 451-3440# of Employees
7SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
945AUM (Assets Under Management)
$359,464,704Similar Advisors
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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.
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Primary Firm SEC Registration
A.T. WHITEHEAD | NOVAK & POWELL FINANCIAL SERVICES, INC. | GATES INVESTMENTS, INC. | GATES FINANCIAL SERVICES, INC. | GATES FINANCIAL SERVICES, INC | GATES & POWELL FINANCIAL SERVICES, INC. | CARR CAPITAL MANAGEMENT
State Registrations and Notice Filings
(9/27/2013)
(9/5/2014)
(5/28/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2008About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2008About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David William Novak's CRS (Customer Relationship Summary).
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