DG
David C. Gaskin
UWHARRIE INVESTMENT ADVISORS
ALBEMARLE, NC 28001
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CRD#: 4338784
DG
Professional summary
David C. Gaskin, AIF®, ChFC®, CLU® is a registered financial advisor currently at UWHARRIE INVESTMENT ADVISORS, INC. located in Albemarle, North Carolina and PRIVATE CLIENT SERVICES, LLC located in Asheboro, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 5 firms and has passed the Series 66, SIE 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.
1) UWHARRIE INVESTMENT ADVISORS, 132 N FIRST STREET, ALBEMARLE, NC, 28002. INVESTMENT RELATED; FINANCIAL ADVISORY SALES AND SERVICE. START DATE 5/2005. 120 HRS/MONTH, 100 HRS DURING MARKET HOURS. 2) APPOINTED WITH VARIOUS CARRIERS FOR THE SALE OF NON-INVESTMENT-RELATED INSURANCE PRODUCTS. 3) RANDOLPH FRIENDS OF THE ZOO (RFOZ) 4401 ZOO PARKWAY, ASHEBORO, NC 27205. THE BOARD HELPS RAISE FUNDS FOR THE ZOO'S OPERATING BUDGET. BOARD MEMBER. I HELP LOCATE ARTWORK TO BE DONATED FOR THE "ZOO TO DO" ANNUAL AUCTION. 3 HOURS/MO; 0 DURING TRADING HOURS. 4) RANDOLPH ROTARY CLUB. PO BOX 2515, ASHEBORO, NC 27204. COMMUNITY CIVIC CLUB SERVING TO RAISE SUPPORT FOR LOCAL NON-PROFIT ORGANIZATIONS THROUGH FUND RAISING AND VOLUNTEERISM. MEMBER. 4 HRS/MO; 4 DURING TRADING HRS. 5) RANDOLPH ROTARY CLUB. 204 S FAYETTEVILLE ST, ASHEBORO, NC 27203. RANDLOPH ROTARY CLUB PROMOTES SERVICE AND FUND RAISING PROJECT THROUGOUT RANDOPH COUNTY THAT HELP THOSE IN NEED. PRESIDENT. OVERSEE MONTHLY BOARD MEETINGS. HELP IN FUND RAISING, PROMOTION AND FULFILLMENT OF SERVICE PROJECTS. 18 HRS/MO; 8 DURING TRADING HRS. 6) RANDOLPH ARTS GUILD. ASHEBORO, NC 27203. A NON-PROFIT SUPPORTING AND PROMOTING THE ARTS. MEMBER OF THE BOARD.
CRS (Client Relationship Summary) - RIA
Click below to view David C. Gaskin'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®
Experience
Current
March 8, 2005 - Present
UWHARRIE INVESTMENT ADVISORS, INC.
Office #1: 132 N. First Street, Albemarle, NC 28001RIA
CRD#: 117592
ALBEMARLE, NC
Current
November 22, 2011 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 222 Sunset Avenue Suite 107, Asheboro, NC 27203Office #2: 132 N. First St, Albemarle, NC 28001RIA
BD
CRD#: 120222
Asheboro, NC
Past
April 11, 2005 - November 21, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ALBEMARLE, NC
Past
March 4, 2005 - April 26, 2005
THE STRATEGIC ALLIANCE CORPORATION
BD
CRD#: 32788
ALBEMARLE, NC
Past
October 9, 2001 - March 14, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
March 15, 2001 - March 14, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/3/2022)
RR
Florida(1/3/2022)
RR
Georgia(11/22/2011)
RR
Maine(10/7/2025)
RR
Michigan(5/15/2019)
IAR
North Carolina(3/8/2005)
RR
North Carolina(11/22/2011)
RR
Ohio(10/29/2012)
RR
South Carolina(11/22/2011)
RR
Tennessee(4/23/2025)
RR
Virginia(11/15/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
132 North First Street, Albemarle, NC 28001
Mailing Address
P.o. Box 1517, Albemarle, NC 28002
Phone number
(704) 983-5959
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 811 |
| AUM (Assets Under Management) | $ 278,247,352 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UWHARRIE INVESTMENT ADVISORS, INC.
CRD#: 117592Albemarle, NC 28001TRUST BUT VERIFY
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