David C. Maddux

BRIGHTWATER ADVISORY

Tampa, FL 33609

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CRD#: 3100686

Professional summary

David Carlen Maddux JR, who also goes by David C Maddux Jr, is a registered financial advisor currently at BRIGHTWATER ADVISORY, LLC located in Tampa, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David C Maddux Jr

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.

4613 NORTH A, LLC; INVESTMENT RELATED; TAMPA,FL; ENTITY HOLDING COMMERCIAL REAL ESTATE; MANAGING MEMBER; START DATE: 1/24/18; HOURS PER MONTH 0; HOURS PER MONTH DURING SECURITIES TRADING HOURS 0; MANAGEMENT OF COMMERCIAL PROPERTY. LLC IS OWNED BY DAVID AND KATIE MADDUX. LLC OWNS TAMPA OFFICE BUILDING AND RENTS IT TO BRIGHTWATER ADVISORY, LLC FOR USE AS ITS PRINCIPAL LOCATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carlen Maddux JR'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®

None

Experience

Current

May 16, 2014 - Present

BRIGHTWATER ADVISORY, LLC

Office #1: 4613 W. North A St., Tampa, FL 33609

RIA

CRD#: 169806

Tampa, FL

Past

January 26, 2016 - April 26, 2017

TAMPA ASSET MANAGEMENT, LLC

RIA

CRD#: 148558

LUTZ, FL

Past

February 24, 2006 - June 2, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

TAMPA, FL

Past

February 14, 2006 - June 2, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

TAMPA, FL

Past

October 1, 1999 - February 10, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TAMPA, FL

Past

October 1, 1999 - February 10, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TAMPA, FL

Past

September 17, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

August 25, 1999 - September 13, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

BRIGHTWATER ADVISORY, LLC

BRIGHTWATER ADVISORY, LLC | TAMPA ASSET MANAGEMENT

CRD#: 169806 / SEC#: 801-110500

RIA

Registered Investment Advisory firm - (5/16/2017 Approved)

Florida

Registered Investment Advisory firm - (5/17/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2017 Terminated)

Virginia

Registered Investment Advisory firm - (5/17/2017 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

Florida
(5/16/2014)

IAR

Georgia
(4/4/2022)

IAR

North Carolina
(12/13/2021)

IAR

Texas
(2/7/2017)

IAR

Virginia
(12/8/2015)

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 65

Date: 11/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/25/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/24/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/1/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/1/2005

General Securities Sales Supervisor - Options Module Examination

Current Firm

BRIGHTWATER ADVISORY, LLC

BRIGHTWATER ADVISORY, LLC | TAMPA ASSET MANAGEMENT

CRD#: 169806 / SEC#: 801-110500

RIA

Registered Investment Advisory firm - (5/16/2017 Approved)

Florida

Registered Investment Advisory firm - (5/17/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2017 Terminated)

Virginia

Registered Investment Advisory firm - (5/17/2017 Terminated)

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Contact information

Main Address

4613 W. North A St., Tampa, FL 33609

Mailing Address

Phone number

(813) 251-6310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRIGHTWATER ADVISORY BROCHURE (3/25/2025)

BRIGHTWATER ADVISORY WRAP PROGRAM (3/25/2025)

Regulatory assets under management

Total Number of Accounts	712
AUM (Assets Under Management)	$ 276,566,998

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.

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Firm Stability Insights

David C. Maddux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carlen Maddux JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TAMPA ASSET MANAGEMENT, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BRIGHTWATER ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/1999

Series 63

Date: 8/31/1999

Series 3

Date: 3/25/2004

Series 7

Date: 8/24/1999

Series 10

Date: 9/1/2005

Series 9

Date: 9/1/2005

Current Firm

BRIGHTWATER ADVISORY, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRIGHTWATER ADVISORY, LLC

TRUST BUT VERIFY

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