David F. Firth
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 Forrest Firth, who also goes by David Firth, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - October 21, 2019
OPES WEALTH MANAGEMENT, LLC
January 6, 2005 - June 8, 2017
OPES ADVISORS, INC.
May 3, 2002 - October 22, 2004
PACIFIC MOUNTAIN ADVISORS, INC.
January 24, 2001 - September 19, 2002
HOEFER & ARNETT, INCORPORATED
Primary Firm SEC Registration
OPES WEALTH MANAGEMENT, LLC
CRD#: 299704 / SEC#: 801-114436
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
OPES WEALTH MANAGEMENT, LLC
CRD#: 299704 / SEC#: 801-114436
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 387 |
| AUM (Assets Under Management) | $ 664,729,272 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/30/2024 | ||
| 03/21/2024 | ||
| 03/21/2023 |
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.
