Dave M. Stanfield
REGAL INVESTMENT ADVISORS LLC
Seattle, WA 98101
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CRD#: 3075652
Professional summary
Dave M Stanfield, CFP®, who also goes by Dave Stanfield, David Michael Stanfield, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Seattle, Washington.
Dave is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Dave has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Stanfield | David Michael Stanfield
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)OAA#: 2061 | ORG NAME:RESIDENTIAL RENTAL PROPERTY | 5604 30th AVE NW, SEATTLE, WA 98107 | NATURE OF BUS:THREE RESIDENTIAL RENTAL PROPERTIES AND 1 FOUR-PLEX | INVST REL:N | TITLE:OWNER | DUTIES:RESIDENTIAL RENTAL PROPERTY | START DT: 01/16/2007 | TOTAL HRS P/M:12 | SEC TRDNG HRS P/M:0 2) Owner of Evergreen Wealth Management, LLC. Nature of business is tax preparation and insurance planning. Located at 7047 E Greenway Pkwy, Ste 250, Scottsdale, AZ 85254. He devotes 5 hours per month, and 1 during trading hours. This is investment related. Started 2/14/2019. His compensation is fee based.
CRS (Client Relationship Summary) - RIA
Click below to view Dave M Stanfield's 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®
Start date: 2018
Experience
Current
March 20, 2015 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 1700 Seventh Avenue Suite 2100, Seattle, WA 98101Office #2: 7047 E Greenway Pkwy Suite 250, Scottsdale, AZ 85254RIA
CRD#: 125004
Seattle, WA
Past
March 20, 2015 - March 1, 2019
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Seattle, WA
Past
April 17, 2009 - March 25, 2015
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SEATTLE, WA
Past
April 1, 2009 - March 24, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SEATTLE, WA
Past
March 15, 2004 - February 20, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SEATTLE, WA
Past
January 9, 2004 - February 20, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SEATTLE, WA
Past
September 6, 2000 - December 15, 2003
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
September 2, 1998 - August 2, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 2, 1998 - August 2, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, 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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)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
Arizona(10/20/2021)
IAR
Washington(3/20/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
