DH
David J. Hellinger
INDEPENDENT WEALTH ADVISORS
Cary, NC 27511
Some features on this profile are disabled
CRD#: 4677013
DH
Professional summary
David Joseph Hellinger, who also goes by Dave Hellinger, is a registered financial advisor currently at INDEPENDENT WEALTH ADVISORS, LLC located in Cary, North Carolina and LPL FINANCIAL LLC located in Cary, North Carolina.
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 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Hellinger
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) 4/13/2011: NON-VARIABLE INSURANCE - SELL OF FIXED INSURANCE PRODUCTS OUTSIDE OF LPL INSURANCE ASSOCIATES. - 5% OF TIME SPENT - CARY, NC. (2) 06/08/2022 - Hellinger Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 05/24/2022 - 160 Hours Per Month/ 130 Hours During Securities Trading (3) 08/31/2023 - wilmington rental - Real Estate Rental - Investment Related - Wilmington, NC - Start Date 08/01/2023 - 5 Hours Per Month/ 0 HoursDuring Securities Trading (4) 01/17/2024 - Independent Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/01/2024 - 40 Hours Per Month/ During Trading (5) 10/31/2024- RENTAL- Real Estate Rental- Cary, NC - Investment Related - Start Date 08/01/2024 - 1 Hour Per Month/ 0 Hours During Trading (6) 10/31/2024- RENTAL PRORERTY CARY- Real Estate Rental- Cary, NC - Investment Related - Start Date 09/01/2024 - 3 Hours Per Month/ 1 Hour During Trading
CRS (Client Relationship Summary) - RIA
Click below to view David Joseph Hellinger'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
March 19, 2024 - Present
INDEPENDENT WEALTH ADVISORS, LLC
Office #1: 167 E. Chatham Street Suite 300, Cary, NC 27511RIA
CRD#: 328786
Cary, NC
Current
April 23, 2010 - Present
LPL FINANCIAL LLC
Office #1: 167 E Chatham St, Suite 300, Cary, NC 27511RIA
BD
CRD#: 6413
Cary, NC
Past
April 23, 2010 - March 15, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
CARY, NC
Past
September 4, 2003 - April 29, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RALEIGH, NC
Past
August 5, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 5, 2003 - April 29, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RALEIGH, NC
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".
IW
INDEPENDENT WEALTH ADVISORS, LLC
INDEPENDENT WEALTH ADVISOR | INDEPENDENT WEALTH ADVISORS, LLC | INDEPENDENT WEALTH ADVISOR, LLC
CRD#: 328786 / SEC#: 801-129370
RIA
Registered Investment Advisory firm - (1/19/2024 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
California(4/23/2010)
RR
Florida(4/23/2010)
RR
Georgia(2/7/2014)
RR
Maryland(4/23/2010)
RR
Massachusetts(9/30/2021)
RR
North Carolina(4/23/2010)
IAR
North Carolina(3/19/2024)
RR
Virginia(4/23/2010)
RR
Wisconsin(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IW
INDEPENDENT WEALTH ADVISORS, LLC
INDEPENDENT WEALTH ADVISOR | INDEPENDENT WEALTH ADVISORS, LLC | INDEPENDENT WEALTH ADVISOR, LLC
CRD#: 328786 / SEC#: 801-129370
RIA
Registered Investment Advisory firm - (1/19/2024 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
167 E. Chatham Street Suite 300, Cary, NC 27511
Mailing Address
Phone number
(919) 749-7596
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 408 |
| AUM (Assets Under Management) | $ 184,176,859 |
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.
Company Information
INDEPENDENT WEALTH ADVISORS, LLC
CRD#: 328786Cary, NC 27511TRUST BUT VERIFY
Monitor David Hellinger
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
