David P. Anderson
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 P Anderson, CFP®, who also goes by Dave Anderson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2018
Experience
January 20, 2015 - May 30, 2025
RIGGS CAPITAL MANAGEMENT, LLC
November 20, 2007 - January 4, 2010
INSPHERE SECURITIES, INC.
June 28, 1999 - August 10, 2007
EQUITY SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RIGGS CAPITAL MANAGEMENT, LLC
CRD#: 120253 / SEC#: 801-64363
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 360 |
| AUM (Assets Under Management) | $ 306,847,259 |
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.
