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David Richard Geake

David R. Geake

Some features on this profile are disabled
CRD#: 3088891
David Richard Geake

Professional summary

David Richard Geake was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, David had worked at 7 firms, which includes AMERICAN TRUST INVESTMENT SERVICES ADVISORY INC., AMERICAN TRUST INVESTMENT SERVICES INC., AUSDAL FINANCIAL PARTNERS INC., MADISON AVENUE SECURITIES LLC, MADISON AVENUE ADVISORS INC., AMERICAN GENERAL SECURITIES INCORPORATED, AMERICAN GENERAL EQUITY SERVICES CORPORATION.

top-8-questions

Question & Answer

What are your service offerings?
Retirement Planning
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Business Succession Planning
Estate Planning
Employee and Employer Plan Ben...
How do you get paid?
Commission and Fee
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.
DRAW THE BUTTON, INC. 40 SKOKIE BLVD. #150, NORTHBROOK, IL 60062; ACCOUNTANT HELPED ESTABLISH THIS CORPORATION TO RECEIVE MY INCOME. I AM 100% OWNER; BEGAN 06/01/2006; I DEVOTE APPX 2 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS. NON-INVESTMENT RELATED. ACCOUNTANT APPLIES MY INCOME TO THIS CORPORATION; COMPENSATION IS MY SALARY. INSURANCE SALES; 40 SKOKIE BLVD., #150 NORTHBROOK, IL 60062; AGENT; ACTIVITY BEGAN 06/01/1998; I DEVOTE APPX 12 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; NON-INVESTMENT RELATED; I SELL LIFE, LONG TERM CARE, FIXED ANNUITIES, AND FIXED INDEX ANNUITIES; COMPENSATION IS COMMISSION.

Blog Corner

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®
None

Experience

Past

September 17, 2019 - May 30, 2023

AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.

RIA
CRD#: 299547
WHITING, IN
Past

September 14, 2018 - April 1, 2019

AMERICAN TRUST INVESTMENT SERVICES, INC.

RIA
CRD#: 3001
CHICAGO, IL
Past

September 14, 2018 - May 30, 2023

AMERICAN TRUST INVESTMENT SERVICES, INC.

BD
CRD#: 3001
CHICAGO, IL
Past

March 10, 2016 - September 17, 2018

AUSDAL FINANCIAL PARTNERS, INC.

RIA
CRD#: 7995
Northbrook, IL
Past

February 29, 2016 - September 17, 2018

AUSDAL FINANCIAL PARTNERS, INC.

BD
CRD#: 7995
Northbrook, IL
Past

March 25, 2009 - May 18, 2015

MADISON AVENUE SECURITIES, LLC

RIA
CRD#: 23224
NORTHBROOK, IL
Past

February 6, 2007 - March 25, 2009

MADISON AVENUE ADVISORS, INC.

RIA
CRD#: 137461
SKOKIE, IL
Past

January 3, 2007 - May 18, 2015

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
NORTHBROOK, IL
Past

October 1, 2002 - December 31, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
SKOKIE, IL
Past

February 27, 2002 - December 31, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

RIA
CRD#: 13626
SKOKIE, IL
Past

August 7, 1998 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX

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
IAR
Series 65
Date: 3/3/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/6/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/1999
General Securities Principal Examination

Current Firm

AT
AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.
AMERICAN TRUST | AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC. | AMERICAN TRUST INVESTMENT SERVICES ADVISORY INC. | AMERICAN TRUST INVESTMENT ADVISORY

CRD#: 299547 / SEC#:

Illinois
Registered Investment Advisory firm - (2/4/2019 Approved)
Indiana
Registered Investment Advisory firm - (2/14/2019 Approved)
New York
Registered Investment Advisory firm - (9/12/2025 Approved)
North Carolina
Registered Investment Advisory firm - (6/27/2019 Approved)
Wisconsin
Registered Investment Advisory firm - (6/23/2023 Approved)
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Contact information

Main Address
1244 119th Street, Whiting, IN 46394
Mailing Address
4722 Main St., Lisle, IL 60532
Phone number
(219) 473-5542
Established
Firm type
Fiscal year end
# of Employees
5

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts84
AUM (Assets Under Management)$ 14,893,426

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

AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.

CRD#: 299547

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