DV
David P. Vick
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CRD#: 3065220
DV
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 Paul Vick was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
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.
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®
NoneExperience
Past
May 20, 2010 - February 15, 2016
REDHAWK WEALTH ADVISORS, INC.
RIA
CRD#: 146616
SCOTTSDALE, AZ
Past
April 1, 2008 - May 14, 2010
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
WHEATON, IL
Past
April 11, 2007 - March 31, 2008
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
TAMPA, FL
Past
September 9, 2005 - March 31, 2008
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
NAPERVILLE, IL
Past
June 16, 2005 - September 12, 2005
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BLOOMINGDALE, IL
Past
February 18, 2003 - June 16, 2005
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
BLOOMINGDALE, IL
Past
November 24, 1999 - September 12, 2005
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
August 24, 1998 - December 31, 1998
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
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".
RW
REDHAWK WEALTH ADVISORS, INC.
ACE TAX & FINANCIAL | WEST END WEALTH MANAGEMENT | WEALTH STRONG LIFE SOLUTIONS | VALLEY MARKETING AND CONSULTING | TOP RANK ADVISORS LLC | THOMPSON WEALTH MANAGEMENT | THE WITTMAN GROUP, INC. | THE FINANCIAL LEGACY GROUP | TCG PROSPERITY | TAN FINANCIAL SOLUTIONS | SYNCHRONIZED WEALTH STRATEGIES LLC | SUN CITY FINANCIAL | STROM FINANCIAL | SIS SERVICES | SFG TAX ADVISORS, LLC | SCOTT GREENAMEYER WEALTH ADVISOR | SCF WEALTH, LLC | RETIREMENT VISIONS | REDHAWK WEALTH ADVISORS, INC. | REDHAWK WEALTH ADVISORS (NO DBA NAME) | RAY HODGES FINANCIAL GROUP | PLAN WISE | PATTEN FINANCIAL GROUP, LLC | PANICHI BLAIR WEALTH ADVISORS | ORIGIN FINANCIAL GROUP LLC | NUVO WEALTH | LOWRY FINANCIAL ADVISORS, INC. | LIVING BENEFITS, LLC | LANGE FINANCIAL ADVISORS, INC. | KINGDOM CALLING | KEEP YOUR WEALTH LLC | K & A WEALTH ADVISORS | JAMES C NEATHERY & ASSOCIATES | INTEGRITY FINANCIAL SERVICES, LLC | ILUMA FINANCIAL PARTNERS | GREENE FINANCIAL SERVICES, INC. | FOCUSED FINANCIAL SOLUTIONS | FIRSTFRUITS ASSET MANAGEMENT | FINANCIAL STRATEGIES GROUP | FINANCIAL INDEPENDENCE TEAM, LLC | ET INVESTMENTS INC. | EQUITY FINANCIAL GROUP | ELLEMAN INVESTMENT MANAGEMENT | DI FIDUCIA LLC | DGL CAPITAL | CRITERIUM FINANCIAL ADVISORS, LTD. | COX AND COMPANY, LLC | CLEAR FINANCIAL STRATEGIES, LLC | CHAMBERLAIN ADVISORY GROUP, INC | CHADWICK FINANCIAL SERVICES | ATLAS WEALTH MANAGEMENT | ASPEN CREEK CAPITAL MANAGEMENT LLC | ANNUITY BENEFITS COUNSELORS, INC. | ALPINE INVESTMENT MANAGEMENT | ALLIANCE FINANCIAL GROUP | ALINK CAPTIVE INSURANCE SERVICES | ALINK CAPITAL PRESERVATION AND RISK MANAGEMENT, LLC | ACE TAX & FINANCIAL, INC.
CRD#: 146616 / SEC#: 801-68902
RIA
Registered Investment Advisory firm - (3/6/2008 Approved)Rhode Island
Registered Investment Advisory firm - (2/10/2016 Terminated)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
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
RW
REDHAWK WEALTH ADVISORS, INC.
ACE TAX & FINANCIAL | WEST END WEALTH MANAGEMENT | WEALTH STRONG LIFE SOLUTIONS | VALLEY MARKETING AND CONSULTING | TOP RANK ADVISORS LLC | THOMPSON WEALTH MANAGEMENT | THE WITTMAN GROUP, INC. | THE FINANCIAL LEGACY GROUP | TCG PROSPERITY | TAN FINANCIAL SOLUTIONS | SYNCHRONIZED WEALTH STRATEGIES LLC | SUN CITY FINANCIAL | STROM FINANCIAL | SIS SERVICES | SFG TAX ADVISORS, LLC | SCOTT GREENAMEYER WEALTH ADVISOR | SCF WEALTH, LLC | RETIREMENT VISIONS | REDHAWK WEALTH ADVISORS, INC. | REDHAWK WEALTH ADVISORS (NO DBA NAME) | RAY HODGES FINANCIAL GROUP | PLAN WISE | PATTEN FINANCIAL GROUP, LLC | PANICHI BLAIR WEALTH ADVISORS | ORIGIN FINANCIAL GROUP LLC | NUVO WEALTH | LOWRY FINANCIAL ADVISORS, INC. | LIVING BENEFITS, LLC | LANGE FINANCIAL ADVISORS, INC. | KINGDOM CALLING | KEEP YOUR WEALTH LLC | K & A WEALTH ADVISORS | JAMES C NEATHERY & ASSOCIATES | INTEGRITY FINANCIAL SERVICES, LLC | ILUMA FINANCIAL PARTNERS | GREENE FINANCIAL SERVICES, INC. | FOCUSED FINANCIAL SOLUTIONS | FIRSTFRUITS ASSET MANAGEMENT | FINANCIAL STRATEGIES GROUP | FINANCIAL INDEPENDENCE TEAM, LLC | ET INVESTMENTS INC. | EQUITY FINANCIAL GROUP | ELLEMAN INVESTMENT MANAGEMENT | DI FIDUCIA LLC | DGL CAPITAL | CRITERIUM FINANCIAL ADVISORS, LTD. | COX AND COMPANY, LLC | CLEAR FINANCIAL STRATEGIES, LLC | CHAMBERLAIN ADVISORY GROUP, INC | CHADWICK FINANCIAL SERVICES | ATLAS WEALTH MANAGEMENT | ASPEN CREEK CAPITAL MANAGEMENT LLC | ANNUITY BENEFITS COUNSELORS, INC. | ALPINE INVESTMENT MANAGEMENT | ALLIANCE FINANCIAL GROUP | ALINK CAPTIVE INSURANCE SERVICES | ALINK CAPITAL PRESERVATION AND RISK MANAGEMENT, LLC | ACE TAX & FINANCIAL, INC.
CRD#: 146616 / SEC#: 801-68902
RIA
Registered Investment Advisory firm - (3/6/2008 Approved)Rhode Island
Registered Investment Advisory firm - (2/10/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8500 Normandale Lake Blvd Suite 960, Bloomington, MN 55437
Mailing Address
Phone number
(952) 835-4295
Established
Firm type
Fiscal year end
# of Employees
55
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,283 |
| AUM (Assets Under Management) | $ 1,837,536,390 |
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.
