DP
David S. Pummel
MARINER WEALTH
Overland Park, KS 66211
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CRD#: 4490497
DP
Professional summary
David S Pummel is a registered financial advisor currently at MARINER WEALTH located in Overland Park, Kansas.
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 63, Series 65, SIE, Series 22 and Series 6 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.
1) DAVID PUMMEL & ASSOCIATES, LLP POSITION: MANAGING PARTNER NATURE: CERTIFIED PUBLIC ACCOUNTING INVESTMENT RELATED: NO HOURS: 200 INVESTMENT RELATED HOURS: 170 START DATE: 01/01/1981 ADDRESS: 1301 8TH AVENUE, BELLE FOURCHE SD 57717 DESCRIPTION: GENERAL PUBLIC ACCOUNTING 2) SOUTH DAKOTA HOUSING DEVELOPMENT AUTHORITY POSITION: COMMISSIONER NATURE: STATE HOUSING AUTHORITY INVESTMENT RELATED: NO HOURS: 10 INVESTMENT RELATED HOURS: 10 START DATE: 04/25/2011 ADDRESS: 3060 E. ELIZABETH STREET, PIERRE SD 57501 DESCRIPTION: MEMBER OF THE BOARD OF COMMISSIONERS OVERSEEING THE SOUTH DAKOTA HOUSING DEVELOPMENT AUTHORITY 3) DP PROPERTIES, LLC POSITION: Member NATURE: Real Estate Rental INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2004 ADDRESS: 1301 8th Avenue, P.O. Box 278, Belle Fourche SD 57717, United States DESCRIPTION: Managing Member 4) OUR SAVORS LUTHERAN CHURCH POSITION: Treasurer NATURE: Sign checks. Present monthly financials to the church council INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2020 ADDRESS: 1022 State Street, Spearfish SD 57783, United States DESCRIPTION: Church Treasurer
CRS (Client Relationship Summary) - RIA
Click below to view David S Pummel'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®
NoneExperience
Current
August 23, 2022 - Present
MARINER WEALTH
Office #1: 5700 W. 112th St. Ste. 500, Overland Park, KS 66211RIA
CRD#: 289886
Overland Park, KS
Past
September 30, 2020 - July 5, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BELLE FOURCHE, SD
Past
January 10, 2002 - September 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BELLE FOURCHE, SD
Past
January 24, 2001 - July 7, 2022
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
BELLE FOURCHE, SD
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".
MW
MARINER WEALTH
MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL
CRD#: 289886 / SEC#: 801-111823
RIA
Registered Investment Advisory firm - (10/6/2017 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
Kansas(8/24/2022)
IAR
South Dakota(8/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MW
MARINER WEALTH
MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL
CRD#: 289886 / SEC#: 801-111823
RIA
Registered Investment Advisory firm - (10/6/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5700 W. 112th St Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(913) 904-5700
Established
Firm type
Fiscal year end
# of Employees
50
SEC notice filing (21 States and Territories)
Red Flags
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Company Information
MARINER WEALTH
CRD#: 289886Overland Park, KS 66211TRUST BUT VERIFY
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