David L. Tuyo

Some features on this profile are disabled

CRD#: 4371854

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 Lawrence Tuyo II, who also goes by David Lawrence Tuyo, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2001. David had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Lawrence Tuyo

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.

UNIVERSITY CREDIT UNION; INVESTMENT-RELATED BUSINESS; 1500 S SEPULVEDA BLVD, LOS ANGELES, CA 90025; PRESIDENT/CEO; BEGAN JULY 2017; APPROXIMATELY 240 HOURS PER MONTH, WITH 240 HOURS PER MONTH DURING SECURITIES TRADING HOURS; EXECUTIVE MANAGEMENT FOR A FULL SERVICE NOT FOR PROFIT FINANCIAL COOPERATIVE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 7, 2020 - April 17, 2025

COPPER FINANCIAL

RIA

CRD#: 168203

Los Angeles, CA

Past

July 6, 2020 - April 17, 2025

COPPER FINANCIAL

CRD#: 168203

Los Angeles, CA

Past

January 4, 2019 - June 30, 2020

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Los Angeles, CA

Past

May 19, 2014 - January 3, 2019

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Los Angeles, CA

Past

May 5, 2014 - June 30, 2020

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Los Angeles, CA

Past

November 12, 2009 - August 2, 2012

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

PENSACOLA, FL

Past

October 7, 2009 - August 2, 2012

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

PENSACOLA, FL

Past

February 15, 2008 - April 27, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

JACKSONVILLE, FL

Past

February 12, 2008 - April 27, 2009

LPL FINANCIAL LLC

CRD#: 6413

JACKSONVILLE, FL

Past

October 16, 2006 - July 24, 2007

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

NASHVILLE, TN

Past

September 18, 2006 - July 24, 2007

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

NASHVILLE, TN

Past

May 24, 2005 - July 3, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

PENSACOLA, FL

Past

October 9, 2003 - May 24, 2005

CU INVESTMENT SOLUTIONS LLC

CRD#: 43753

OVERLAND PARK, KS

Past

May 15, 2001 - August 25, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

COPPER FINANCIAL

COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL

CRD#: 168203 / SEC#: 801-89168, 8-69295

RIA

Registered Investment Advisory firm - SEC (4/30/2015 Approved)

California

Registered Investment Advisory firm - SEC (7/2/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/6/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/2/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/17/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2001

General Securities Representative Examination

Current Firm

COPPER FINANCIAL

COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL

CRD#: 168203 / SEC#: 801-89168, 8-69295

RIA

Registered Investment Advisory firm - SEC (4/30/2015 Approved)

California

Registered Investment Advisory firm - SEC (7/2/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/6/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9777 Ridge Dr., Suite 360, Lenexa, KS 66219

Mailing Address

9777 Ridge Dr., Suite 360, Lenexa, KS 66219

Phone number

(913) 905-8116

Established

Missouri since 11/05/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (29 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAMP WRAP FEE PROGRAM BROCHURE (FORM ADV PART 2A APPENDIX 1) (5/29/2025)

GUIDED INVESTING WRAP FEE PROGRAM BROCHURE (FORM ADV PART 2A APPENDIX 1) (3/31/2025)

FIRM BROCHURE (FORM ADV PART 2A) (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
COMMUNITYAMERICA CUSO ONE LLC	SHAREHOLDER
CHRISTIAN, TRACY	ELECTED MANAGER	7678129
DEHNER, MICHAEL JAMES	FINANCIAL OPERATIONS PRINCIPAL	7334680
GINTER, LISA ROSELLE	ELECTED MANAGER	6482083
HAGGERTY, MICHAEL PATRICK	PRESIDENT, CHIEF COMPLIANCE OFFICER	3172920
KROPP, STEPHEN DALE	ELECTED MANAGER	7337607
PATRICK, MICHAEL ALAN	ELECTED MANAGER	6482087
SARACINI, TIMOTHY RICE	ELECTED MANAGER	1303842

Regulatory assets under management

Total Number of Accounts	4,082
AUM (Assets Under Management)	$ 346,070,238

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David L. Tuyo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COPPER FINANCIAL

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

MORGAN KEEGAN & COMPANY, LLC

CU INVESTMENT SOLUTIONS LLC

EDWARD JONES

Primary Firm SEC Registration

COPPER FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2006

Series 63

Date: 5/17/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2001

Current Firm

COPPER FINANCIAL

Contact information

SEC notice filing (29 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

COPPER FINANCIAL

TRUST BUT VERIFY

Similar Advisors