David R. Faulkner

SPECTRUM ADVISORS

PLANO, TX 75093

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CRD#: 4490886

Professional summary

David R Faulkner, CFP®, CLU®, who also goes by David Russell Faulkner, is a registered financial advisor currently at SPECTRUM ADVISORS, INC. located in Plano, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Russell Faulkner

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. NAME: SPECTRUM ADVISORS; INV RELATED:YES; ADDRESS:15301 SPECTRUM DRIVE, SUITE 115 ADDISON, TX 75001; NATURE:FINANCIAL PLANNING TO INCLUDE INSURANCE PRODUCTS. INVESTMENT, ALTERNATIVES. ETC.; POSITION: PARTNER; START DATE:2016; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES: FINANCIAL PLANNING. 2. NAME:ADVISORS EXCEL ; INV RELATED:YES; ADDRESS:2950 SW MCCLURE ROAD TOPEK/KS 66614; NATURE:INSURANCE PRODUCTS OFFERED THROUGH AE. CREATIVE SERVICES PROVIDED BY AE; POSITIONilNSURANCE AGENT; START DATE:2017; HOURS/MONTH:40; TRADING HOURS/MONTH:40; DUTIES: INSURANCE SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David R Faulkner'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®

CFP^®

Certified Financial Planner

Start date: 2009

CLU^®

Chartered Life Underwriter

Experience

Current

March 2, 2016 - Present

SPECTRUM ADVISORS, INC.

Office #1: 2805 Dallas Parkway, Ste 200, Plano, TX 75093

RIA

CRD#: 114805

PLANO, TX

Past

August 15, 2011 - February 17, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ALLEN, TX

Past

June 3, 2011 - February 17, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ALLEN, TX

Past

August 17, 2005 - January 18, 2011

PLACEMARK INVESTMENTS, INC.

RIA

CRD#: 114680

ADDISON, TX

Past

March 19, 2002 - October 6, 2004

ARGENTUS SECURITIES, LLC

CRD#: 45915

DALLAS, TX

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".

SPECTRUM ADVISORS, INC.

CRD#: 114805 / SEC#: 801-126099

RIA

Registered Investment Advisory firm - (7/15/2022 Approved)

Colorado

Registered Investment Advisory firm - (7/29/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/18/2022 Terminated)

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).

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

Texas
(3/2/2016)

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.

Exams

State Security Law Exam

Series 63

Date: 6/26/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/4/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/17/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/2/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 3/18/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/2002

General Securities Principal Examination

Current Firm

SPECTRUM ADVISORS, INC.

CRD#: 114805 / SEC#: 801-126099

RIA

Registered Investment Advisory firm - (7/15/2022 Approved)

Colorado

Registered Investment Advisory firm - (7/29/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/18/2022 Terminated)

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Contact information

Main Address

2805 Dallas Parkway, Ste 200, Plano, TX 75093

Mailing Address

Phone number

(972) 931-3700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE- MARCH 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	870
AUM (Assets Under Management)	$ 149,000,000

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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Firm Stability Insights

David R. Faulkner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David R Faulkner's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

PLACEMARK INVESTMENTS, INC.

ARGENTUS SECURITIES, LLC

Primary Firm SEC Registration

SPECTRUM ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/2011

Series 66

Date: 4/4/2002

SIE

Date: 2/17/2016

Series 6

Date: 6/2/2011

Series 7

Date: 3/18/2002

Series 24

Date: 5/31/2002

Current Firm

SPECTRUM ADVISORS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM ADVISORS, INC.

TRUST BUT VERIFY

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