David Michael Foley
CFP®, ChFC®Professional Summary
David Michael Foley, CFP®, ChFC® is a registered financial advisor currently at CADENT CAPITAL ADVISORS, LLC located in Tulsa, Oklahoma. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. David has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 3, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Retirement Planning
- Investment Planning
- Comprehensive Financial Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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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.
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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Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC
Contact Information
Main Address
4525 East 91st Street, Tulsa, OK 74137Phone Number
(918) 935-3450# of Employees
15SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,584AUM (Assets Under Management)
$785,808,110Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC
State Registrations and Notice Filings
(3/13/2015)
(3/13/2015)
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 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2022About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1996About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David Michael Foley's CRS (Customer Relationship Summary).
Services Offered by David
- Retirement Planning
- Investment Planning
- Comprehensive Financial Planning
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