Alan R. David

DAVID, ALAN R.

SAN JOSE, CA 95128

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CRD#: 4016103

Professional summary

Alan R David is a registered financial advisor currently at DAVID, ALAN R. located in San Jose, California.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Alan has worked at 5 firms and has passed the Series 66 and Series 7 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.

ALAN R. DAVID, CPA, A PROPRIETORSHIP. ENGAGED IN PREPARATION AND CONSULTING RE. INCOME TAX 100% OWNERSHIP 114 HERITAGE VILLAGE WAY CAMPBELL, CA 95008 1981 THRU PRESENT HOURS PER MONTH: 50

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan R David'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®

None

Experience

Current

May 30, 2014 - Present

DAVID, ALAN R.

Office #1: 1101 S Winchester Blvd Suite A-107, San Jose, CA 95128

RIA

CRD#: 155700

SAN JOSE, CA

Past

October 7, 2008 - March 31, 2010

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

LOS GATOS, CA

Past

October 7, 2008 - March 31, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

LOS GATOS, CA

Past

December 15, 2007 - November 4, 2008

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

MILPITAS, CA

Past

March 27, 2006 - May 31, 2006

EPLANNING SECURITIES, INC.

CRD#: 46000

MILPITAS, CA

Past

March 29, 2001 - February 21, 2006

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

MILPITAS, CA

Past

November 2, 2000 - February 21, 2006

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

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

California
(5/30/2014)

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: 1/3/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/1/2000

General Securities Representative Examination

Current Firm

DAVID, ALAN R.

ALAN RUSSELL DAVID | DAVID, ALAN RUSSELL | DAVID, ALAN R.

CRD#: 155700 / SEC#:

California

Registered Investment Advisory firm - (5/30/2014 Approved)

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Contact information

Main Address

1101 So. Winchester Blvd. Ste A- 107, San Jose, CA 95128

Mailing Address

Phone number

(408) 439-5933

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Alan R. David

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan R David's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAVID, ALAN R.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

EPLANNING SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2001

Series 7

Date: 11/1/2000

Current Firm

DAVID, ALAN R.

Contact information

Documents

Red Flags

Company Information

DAVID, ALAN R.

TRUST BUT VERIFY

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