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DF

David M. Foley

CADENT CAPITAL ADVISORS
Tulsa, OK 74137
Some features on this profile are disabled
CRD#: 2835190
DF

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.

top-8-questions

Question & Answer

What are your service offerings?
Retirement Planning
Investment Planning
Comprehensive Financial Planni...
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.
1) GRACE INVESTMENT HOLDINGS, LLC; NOT INVESTMENT RELATED; 6206 S SANDUSKY AVE TULSA, OK 74136; REAL ESTATE INVESTMENT PROPERTIES; MEMBER OF LLC; 01/2018; 0-1 HOURS/MONTH; 0 HOURS/MONTH DURING SECURITIES HOURS; RENTAL PROPERTY AND BUILDING FOR SPOUSES BUSINESS PRACTICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Foley'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: 2002

ChFC®

Chartered Financial Consultant

Experience

Current

March 13, 2015 - Present

CADENT CAPITAL ADVISORS, LLC

Office #1: 4525 East 91st Street, Tulsa, OK 74137
RIA
CRD#: 169704
Tulsa, OK
Past

May 3, 2016 - August 20, 2021

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
TULSA, OK
Past

June 1, 2009 - March 4, 2015

MORGAN STANLEY

RIA
CRD#: 149777
TULSA, OK
Past

June 1, 2009 - March 4, 2015

MORGAN STANLEY

BD
CRD#: 149777
TULSA, OK
Past

January 27, 1998 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
TULSA, OK
Past

August 21, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
TULSA, OK
Past

May 12, 1997 - August 25, 1997

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

January 2, 1997 - May 14, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA

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".
CC
CADENT CAPITAL ADVISORS, LLC
CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC

CRD#: 169704 / SEC#: 801-78860

RIA
Registered Investment Advisory firm - (12/2/2013 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
Oklahoma
(3/13/2015)
IAR
Texas
(3/13/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/4/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/18/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/18/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/12/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/30/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CADENT CAPITAL ADVISORS, LLC
CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC

CRD#: 169704 / SEC#: 801-78860

RIA
Registered Investment Advisory firm - (12/2/2013 Approved)
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Contact information

Main Address
4525 East 91st Street, Tulsa, OK 74137
Mailing Address
Phone number
(918) 935-3450
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (10 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

CADENT CAPITAL MANAGEMENT, LLC (7/7/2025)

Regulatory assets under management

Total Number of Accounts1,315
AUM (Assets Under Management)$ 651,008,144

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

CADENT CAPITAL ADVISORS, LLC

CRD#: 169704Tulsa, OK 74137

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