David F. Treft
SOUDERS FINANCIAL ADVISORS
Cincinnati, OH 45248
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CRD#: 4561009
Professional summary
David Francis Treft, CFP® is a registered financial advisor currently at SOUDERS FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio and PRIVATE CLIENT SERVICES, LLC located in Mason, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. David has worked at 7 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.
1) GRACE BAPTIST CHURCH. 5595 MASON ROAD, MASON, OH 45040. CHURCH. CURRENT BOARD MEMBER FOR THE CHURCH. RESPONSIBLE FOR OVERSIGHT OF CHURCH OPERATIONS AND PROPERTY. 4 HRS/MO; 0 DURING TRADING HRS. 2) CLEARPOINT WEALTH ADVISORS. 5325 DEERFIELD BLVD, #106, MASON, OH 45040. FINANCIAL ADVISOR. 160 HRS/MO; 160 DURING TRADING HRS. 3) DAVID F TREFT, CPA. 5709 MASON ROAD, MASON, OH 45040. ACOUNTANT/BOOKKEEPING/CONTRACT CFO (BILLING DONE UNDER TREFT FINANCIAL SERVICES, INC). OWNER/ACCOUNTING DUTIES. 15 HRS/MO; 10 DURING TRADING HRS. 4) DAVID F TREFT. 5325 DEERFIELD BLVD, #106, MASON, OH 45040. NON-VARIABLE INSURANCE: LIFE, HEALTH, DISABILITY AND LONG TERM CARE. SALES AND SERVICE OF INSURANCE CLIENTS. 30 HRS/MO; 30 DURING TRADING HRS. 5) SOUDERS FINANCIAL ADVISORS, LLC. 5968 BRIDGETOWN ROAD, CINCINNATI, OH 45248. REGISTERED INVESTMENT ADVISOR, IAR AND ASSET MANAGEMENT. SALES AND SERVICE OF INVESTMENT CLIENTS. 100 HRS/MO; 100 DURING TRADING HRS. 6) TREFT FINANCIAL SERVICES, INC. 5325 DEERFIELD BLVD, #106, MASON, OH 45040. BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES (PASS THROUGH); INVESTMENT FEES AND COMMISSIONS. 7) BACK2BACK MINISTRIES. PO BOX 70, MASON, OH 45040. BACK2BACK MINISTRIES IS AN INTERNATIONAL CHRISTIAN NON-PROFIT ORGANIZATION DEDICATED TO BEING A VOICE FOR ORPHANS. INVESTMENT COMMITTE MEMBER-OFFICER EDUCATION, UNDERSTANDING AND GUIDANCE RELATING TO THE MINISTRY'S INVESTMENT ASSETS. 1 HR/MO; 0 DURING TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view David Francis Treft'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®
Start date: 2018
Experience
Current
June 19, 2018 - Present
SOUDERS FINANCIAL ADVISORS, LLC
Office #1: 5968 Bridgetown Road, Cincinnati, OH 45248RIA
CRD#: 296780
Cincinnati, OH
Current
June 14, 2021 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 5325 Deerfield Blvd #106, Mason, OH 45040RIA
BD
CRD#: 120222
Mason, OH
Past
June 1, 2018 - November 2, 2020
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
MASON, OH
Past
August 12, 2013 - June 11, 2018
ADVANTAGE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 146236
CINCINNATI, OH
Past
July 31, 2012 - June 6, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
CINCINNATI, OH
Past
January 20, 2012 - July 31, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
CINCINNATI, OH
Past
September 23, 2009 - December 31, 2010
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CINCINNATI, OH
Past
December 8, 2008 - March 8, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CINCINNATI, OH
Past
June 13, 2007 - December 9, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
CINCINNATI, OH
Past
March 3, 2003 - December 9, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CINCINNATI, OH
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".
SF
SOUDERS FINANCIAL ADVISORS, LLC
BONAVENTURA WEALTH ADVISORS, LLC | STRATEGIC CAPITAL ADVISERS, LLC | SOUDERS FINANCIAL GROUP | SOUDERS FINANCIAL ADVISORS, LLC | SFG-RIA | CLEARPOINT WEALTH ADVISORS, LLC
CRD#: 296780 / SEC#: 801-113263
RIA
Registered Investment Advisory firm - (5/21/2018 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.RR
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
RR
Georgia(9/29/2022)
RR
Indiana(9/21/2021)
RR
Kentucky(6/14/2021)
IAR
Ohio(6/19/2018)
RR
Ohio(6/14/2021)
RR
Oklahoma(1/16/2024)
RR
Pennsylvania(2/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SOUDERS FINANCIAL ADVISORS, LLC
BONAVENTURA WEALTH ADVISORS, LLC | STRATEGIC CAPITAL ADVISERS, LLC | SOUDERS FINANCIAL GROUP | SOUDERS FINANCIAL ADVISORS, LLC | SFG-RIA | CLEARPOINT WEALTH ADVISORS, LLC
CRD#: 296780 / SEC#: 801-113263
RIA
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Contact information
Main Address
5968 Bridgetown Road, Cincinnati, OH 45248
Mailing Address
Phone number
(513) 598-2400
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,232 |
| AUM (Assets Under Management) | $ 1,065,305,147 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SOUDERS FINANCIAL ADVISORS, LLC
CRD#: 296780Cincinnati, OH 45248TRUST BUT VERIFY
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