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DS

David G. Stouffer

Some features on this profile are disabled
CRD#: 437684
DS

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 Germaine Stouffer was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1973. David had worked at 8 firms and has passed the Series 65, Series 63, Series 5 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

June 9, 2005 - October 19, 2005

INVESTMENT ADVISORS CORP

RIA
CRD#: 117531
JOHNSTON, IA
Past

May 31, 2005 - October 2, 2012

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
WEST DES MOINES, IA
Past

May 29, 2002 - December 31, 2004

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
BOSTON, MA
Past

April 18, 2000 - December 31, 2006

DISCIPLINED GROWTH STRATEGIES

RIA
CRD#: 117420
WEST DES MOINES, IA
Past

March 10, 2000 - June 2, 2000

TCADVISORS NETWORK INC.

BD
CRD#: 35794
CENTENNIAL, CO
Past

September 1, 1983 - October 27, 1999

RESOURCE DEVELOPMENT INTERNATIONAL, LTD.

BD
CRD#: 8435
SCHAUMBURG, IL
Past

May 2, 1978 - September 7, 1983

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

June 26, 1973 - May 27, 1978

PIPER SANDLER & CO.

BD
CRD#: 665

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/18/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/4/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 6/20/1973
Registered Representative Examination

Current Firm

IA
INVESTMENT ADVISORS CORP
A.O. WEALTH ADVISORY | PREFERRED WEALTH MANAGEMENT, LLC. | MAIN STREET ADVISORY GROUP | INVESTMENT ADVISORS CORP | IH MISSISSIPPI VALLEY CU INVESTMENT SERVICES | HOBSON FINANCIAL | CORE FINANCIAL SERVICES | CARMONY ASSET & WEALTH ADVISORS | BLACKSTONE WEALTH ADVISORS, LLC

CRD#: 117531 / SEC#: 801-69573

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Contact information

Main Address
140 So. 68th Street, West Des Moines, IA 50266
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 (6/27/2018)

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.

Company Information

INVESTMENT ADVISORS CORP

CRD#: 117531

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