David W. Novak

NOVAK & POWELL FINANCIAL SERVICES

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CRD#: 2811131

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.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Novak'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

September 27, 2013 - Present

NOVAK & POWELL FINANCIAL SERVICES, INC.

RIA

CRD#: 112970

Past

August 20, 2009 - August 26, 2013

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CLEARWATER, FL

Past

February 17, 2009 - October 16, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CLEARWATER, FL

Past

August 4, 1998 - August 26, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CLEARWATER, 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".

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD#: 112970 / SEC#: 801-108964

RIA

Registered Investment Advisory firm - (1/24/2017 Approved)

Colorado

Registered Investment Advisory firm - (1/31/2017 Terminated)

Florida

Registered Investment Advisory firm - (1/26/2017 Terminated)

Missouri

Registered Investment Advisory firm - (1/26/2017 Terminated)

Texas

Registered Investment Advisory firm - (1/26/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(9/27/2013)

IAR

Florida
(9/5/2014)

IAR

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 2/7/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/18/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/3/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/24/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/19/2008

General Securities Sales Supervisor - Options Module Examination

Current Firm

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD#: 112970 / SEC#: 801-108964

RIA

Registered Investment Advisory firm - (1/24/2017 Approved)

Colorado

Registered Investment Advisory firm - (1/31/2017 Terminated)

Florida

Registered Investment Advisory firm - (1/26/2017 Terminated)

Missouri

Registered Investment Advisory firm - (1/26/2017 Terminated)

Texas

Registered Investment Advisory firm - (1/26/2017 Terminated)

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Contact information

Main Address

146 Second St N Suite 310, St. Petersburg, FL 33701

Mailing Address

Phone number

(727) 451-3440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NOVAK & POWELL FINANCIAL SERVICES, INC. DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	952
AUM (Assets Under Management)	$ 333,645,585

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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Advisor Monitoring

Firm Stability Insights

David W. Novak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Novak's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NOVAK & POWELL FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2009

Series 63

Date: 2/25/2000

Series 31

Date: 6/18/2008

Series 7

Date: 8/3/1998

Series 10

Date: 10/24/2008

Series 9

Date: 9/19/2008

Current Firm

NOVAK & POWELL FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVAK & POWELL FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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