David E. Sweet

DES FINANCIAL GROUP

Brea, CA 92821

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CRD#: 4415313

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.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Investment Planning

Estate Planning

Retirement Planning

What is your minimum asset requirement?

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. 10/09/2008 - REAL ESTATE RENTAL - INV REL - 1880 BURGANDY, LAKE HAVASU CITY, CA 86404 2. 12/11/2008 - DES FINANCIAL GROUP - NON-VARIABLE INSURANCE DBA - 1% TIME SPENT - FIXED LINES & LTC 3. 07/28/2015 - DES FINANCIAL GROUP, LLC - INV REL - 3000 EAST BIRCH STREET, SUITE 103, BREA, CA 92821 - REGISTERED INVESTMENT ADVISOR HYBRID - START 02/11/2015 - 140 HOUR PER MONTH, 0 DURING TRADING - IAR 4. 07/15/2016 * DES Financial Group, LLC * Real Estate Rental * INV REL * 3000 East Birch Street, Suite 103, Brea, CA 92821 * DES Financial Group, LLC: two office for rent. May be covered by override agreement or just monthly rental. * START 07/13/2016 * 1 HRS/MO; 0 DURING SECS TRDG HRS. 3. DAVID E. SWEET - INV REL - 3000 EAST BIRCH STREET, SUITE 103, BREA, CA 92821 - REGISTERED REPRESENTATIVE - HYBRID ADVISOR - DES FINANCIAL GROUP, LLC - START 02/02/2009 - 20 HOUR PER MONTH, 15 DURING TRADING - BROKERAGE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Earle Sweet'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

January 12, 2015 - Present

DES FINANCIAL GROUP, LLC

Office #1: 3000 East Birch Street Suite 101, Brea, CA 92821

RIA

CRD#: 174421

Brea, CA

Current

February 2, 2009 - Present

LPL FINANCIAL LLC

Office #1: 3000 E Birch Street Suite 101, Brea, CA 92821

RIA

CRD#: 6413

Brea, CA

Past

February 2, 2009 - September 7, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

BREA, CA

Past

October 25, 2006 - February 4, 2009

EDWARD JONES

RIA

CRD#: 250

YORBA LINDA, CA

Past

May 21, 2002 - February 4, 2009

EDWARD JONES

CRD#: 250

YORBA LINDA, CA

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.

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

California
(2/2/2009)

IAR

California
(1/12/2015)

Florida
(1/2/2021)

Georgia
(1/25/2017)

Indiana
(6/13/2019)

Nevada
(8/4/2017)

Texas
(2/2/2009)

IAR

Texas
(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

State Security Law Exam

Series 63

Date: 5/23/2002

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: 5/20/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DES FINANCIAL GROUP, LLC

CRD#: 174421 / SEC#: 801-80832

RIA

Registered Investment Advisory firm - (9/4/2015 Terminated)

California

Registered Investment Advisory firm - (9/3/2015 Approved)

Texas

Registered Investment Advisory firm - (3/16/2016 Conditional Restricted)

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).

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Contact information

Main Address

3000 East Birch Street Suite 101, Brea, CA 92821

Mailing Address

Phone number

(714) 572-3620

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 32,120,577

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

David E. Sweet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Earle Sweet's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/20/2002

Series 24

Date: 4/30/2009

FINRA

Current Firm

DES FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DES FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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