David L. Ross

ROSS FINANCIAL GROUP

Long Beach, CA

Some features on this profile are disabled

CRD#: 4511461

Professional summary

David Lloyd Ross, CFP® is a registered financial advisor currently at ROSS FINANCIAL GROUP located in Long Beach, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 3 firms and has passed the Series 63, Series 7 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.

DIRECT INSURANCE BUSINESS NOT INV RELATED 611 WILSHIRE BLVD. STE 909 LOS ANGELES CA 90017 NATURE: DOES BUSINESS W/ INSURANCE COMPANIES POSITION: BROKER DUTIES: BROKER START DATE 1/2004 20HRS/ MONTH DURING TRADING HRS ***************************************** NAME: DAVID ROSS BKR NOT INV REL ADDRESS: 9601 WILSHIRE BLVD STE 560 BEVERLY HILLS CA 90210 NATURE: I HAVE A CLIENT, MARRIED COUPLE, WHO HAVE OWNED A BUINESS FOR 40YRS. I USED TO BE A BUSINESS CONSULTANT AND THEY HAVE ASKED IF I COULD CONSULT THEM ON GENERAL BUSINESS ISSUES, PARTICULARLY STRATEGIC PLANNING START: 06/07 NO HRS/MO: 5 NO.HRS/MO DURING TRADING: 0 DUTIES: BUSINESS CONSULTANT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lloyd Ross'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

Experience

Current

February 20, 2014 - Present

ROSS FINANCIAL GROUP

RIA

CRD#: 157627

Long Beach, CA

Past

July 1, 2011 - December 31, 2013

ROSS FINANCIAL GROUP

RIA

CRD#: 157627

LOS ANGELES, CA

Past

July 17, 2009 - January 25, 2013

RIVERFLOW WEALTH MANAGEMENT, LLC

RIA

CRD#: 149725

CALABASAS, CA

Past

June 23, 2005 - August 6, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

LOS ANGELES, CA

Past

June 4, 2002 - August 6, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

LOS ANGELES, 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.

Highlighted states indicate IAR registrations

IAR

California
(2/20/2014)

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: 6/6/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/26/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/1/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROSS FINANCIAL GROUP

ROSS FINANCIAL GROUP | THE ROSS FINANCIAL GROUP | ROSS, DAVID LLOYD

CRD#: 157627 / SEC#:

California

Registered Investment Advisory firm - (6/30/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Long Beach, CA

Mailing Address

Phone number

(562) 438-1000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 12,033,858

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David L. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lloyd Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSS FINANCIAL GROUP

ROSS FINANCIAL GROUP

RIVERFLOW WEALTH MANAGEMENT, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/2002

Series 7

Date: 7/26/2005

Series 6

Date: 6/1/2002

Current Firm

ROSS FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROSS FINANCIAL GROUP

TRUST BUT VERIFY

Similar Advisors