David Earle Sweet
CFP®Professional Summary
David Earle Sweet, CFP® is a registered financial advisor currently at DES FINANCIAL GROUP, LLC located in Brea, California and LPL FINANCIAL LLC located in Brea, California. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Comprehensive Financial Planning
- Investment Planning
- Estate Planning
- Retirement Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
DES FINANCIAL GROUP, LLC
Contact Information
Main Address
3000 East Birch Street Suite 101, Brea, CA 92821Phone Number
(714) 572-3620# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
125AUM (Assets Under Management)
$34,101,579Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/2/2009)
(1/12/2015)
(1/2/2021)
(1/25/2017)
(6/13/2019)
(8/4/2017)
(2/2/2009)
(3/18/2016)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Earle Sweet's CRS (Customer Relationship Summary).
Services Offered by David
- Comprehensive Financial Planning
- Investment Planning
- Estate Planning
- Retirement Planning
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