David S. Rowe

HIGHLAND CAPITAL ADVISORS

Issaquah, WA 98027

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CRD#: 4395065

Professional summary

David Sinclair Rowe, CIMA® is a registered financial advisor currently at HIGHLAND CAPITAL ADVISORS, LLC located in Issaquah, Washington.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 4 firms and has passed the Series 65, Series 63 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Sinclair Rowe's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 4, 2012 - Present

HIGHLAND CAPITAL ADVISORS, LLC

Office #1: 485 Rainier Blvd North Suite 103, Issaquah, WA 98027

RIA

CRD#: 139780

Issaquah, WA

Past

January 25, 2011 - June 29, 2012

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BELLEVUE, WA

Past

March 30, 2005 - October 19, 2010

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

SEATTLE, WA

Past

June 19, 2001 - July 7, 2003

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

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".

HIGHLAND CAPITAL ADVISORS, LLC

CRD#: 139780 / SEC#: 801-66336

RIA

Registered Investment Advisory firm - (5/21/2006 Approved)

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

Washington
(6/4/2012)

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 65

Date: 4/12/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/2001

General Securities Representative Examination

Current Firm

HIGHLAND CAPITAL ADVISORS, LLC

CRD#: 139780 / SEC#: 801-66336

RIA

Registered Investment Advisory firm - (5/21/2006 Approved)

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Contact information

Main Address

485 Rainier Blvd North Suite 103, Issaquah, WA 98027

Mailing Address

Phone number

+1 (800) 717-6180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HCA ADV PART 2A - IMPLEMENTED SOLUTIONS (1/29/2025)

HCA ADV PART 2A - INVESTMENT CONSULTING (1/29/2025)

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.

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David S. Rowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Sinclair Rowe's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHLAND CAPITAL ADVISORS, LLC

KESTRA INVESTMENT SERVICES, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

NORTHERN TRUST SECURITIES, INC.

Primary Firm SEC Registration

HIGHLAND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/2004

Series 63

Date: 8/24/2001

Series 7

Date: 6/18/2001

Current Firm

HIGHLAND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

HIGHLAND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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