David B. Short

INVESTMENTS & FINANCIAL PLANNING

Lexington, KY 40509

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CRD#: 4521911

Professional summary

David Brian Short, CFP®, ChFC® is a registered financial advisor currently at INVESTMENTS & FINANCIAL PLANNING, LLC located in Lexington, Kentucky.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 63, SIE, 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.

***DAVID B SHORT- AGENT POSITION: Agent NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2002 ADDRESS: 1795 Alysheba Way, Suite 7104, Lexington KY 40509, United States DESCRIPTION: Outside Insurance Sales ***DBS FINANCIAL SERVICES, LLC POSITION: Manager NATURE: LLC set up for tax reporting of income INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2009 ADDRESS: 1795 Alysheba Way Suite 7104, Lexington KY 40509, United States DESCRIPTION: LLC set up for tax reporting of income, LLC status. I run and manage this LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Brian Short'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: 2011

ChFC^®

Chartered Financial Consultant

Experience

Current

July 2, 2012 - Present

INVESTMENTS & FINANCIAL PLANNING, LLC

Office #1: 1795 Alysheba Way Suite 7104, Lexington, KY 40509

RIA

CRD#: 164333

Lexington, KY

Past

September 18, 2020 - July 1, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

Lexington, KY

Past

August 28, 2017 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

Lexington, KY

Past

June 28, 2012 - August 29, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

LEXINGTON, KY

Past

October 12, 2005 - July 16, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEXINGTON, KY

Past

October 12, 2005 - July 16, 2012

LPL FINANCIAL LLC

CRD#: 6413

LEXINGTON, KY

Past

April 16, 2002 - October 14, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

May 19, 1999 - October 14, 2005

OSAIC FS, INC.

RIA

CRD#: 3870

LEXINGTON, KY

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".

INVESTMENTS & FINANCIAL PLANNING, LLC

CRD#: 164333 / SEC#: 801-119021

RIA

Registered Investment Advisory firm - (7/14/2020 Approved)

Kentucky

Registered Investment Advisory firm - (7/16/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/16/2020 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

Kentucky
(7/2/2012)

IAR

Texas
(11/8/2017)

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: 4/22/2002

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: 11/21/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/15/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INVESTMENTS & FINANCIAL PLANNING, LLC

CRD#: 164333 / SEC#: 801-119021

RIA

Registered Investment Advisory firm - (7/14/2020 Approved)

Kentucky

Registered Investment Advisory firm - (7/16/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/16/2020 Terminated)

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Contact information

Main Address

1795 Alysheba Way Suite 7104, Lexington, KY 40509

Mailing Address

Phone number

(859) 543-8188

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESTMENTS & FINANCIAL PLANNING, LLC WRAP BROCHURE (2/24/2025)

INVESTMENTS & FINANCIAL PLANNING, LLC ADV BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts	1,714
AUM (Assets Under Management)	$ 278,443,881

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 B. Short

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Brian Short's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

WFG INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FS, INC.

OSAIC FS, INC.

Primary Firm SEC Registration

INVESTMENTS & FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2006

Series 6

Date: 4/15/2002

Current Firm

INVESTMENTS & FINANCIAL PLANNING, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENTS & FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

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