David J. Pedley

TREETOP WEALTH MANAGEMENT

Northfield, IL 60093

Some features on this profile are disabled

CRD#: 3068557

Professional summary

David John Pedley, CFP® is a registered financial advisor currently at TREETOP WEALTH MANAGEMENT, LLC located in Northfield, Illinois.

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 66, Series 63, 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 John Pedley'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: 2006

Experience

Current

October 13, 2010 - Present

TREETOP WEALTH MANAGEMENT, LLC

Office #1: One Northfield Plaza Suite 106, Northfield, IL 60093

RIA

CRD#: 155013

Northfield, IL

Past

April 9, 2003 - November 4, 2010

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

HIGHLAND PARK, IL

Past

July 6, 1998 - November 3, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

HIGHLAND PARK, 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".

TREETOP WEALTH MANAGEMENT, LLC

CRD#: 155013 / SEC#: 801-121465

RIA

Registered Investment Advisory firm - (6/10/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/24/2021 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

Illinois
(10/13/2010)

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 66

Date: 4/2/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/2/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/9/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/2/2009

General Securities Sales Supervisor - Options Module Examination

Current Firm

TREETOP WEALTH MANAGEMENT, LLC

CRD#: 155013 / SEC#: 801-121465

RIA

Registered Investment Advisory firm - (6/10/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/24/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Northfield Plaza Suite 106, Northfield, IL 60093

Mailing Address

Phone number

(847) 386-6707

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (1/8/2025)

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 185,000,000

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David J. Pedley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David John Pedley's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

TREETOP WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/2/2003

Series 63

Date: 7/15/1998

Series 7

Date: 7/2/1998

Series 10

Date: 6/9/2009

Series 9

Date: 3/2/2009

Current Firm

TREETOP WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TREETOP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors