David I. Essay

UNITED CAPITAL FINANCIAL ADVISORS

Fort Collins, CO 80521

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CRD#: 4679215

Professional summary

David Isaac Essay, CFP® is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Fort Collins, Colorado and INTEGRITY ALLIANCE, LLC. located in Fort Collins, Colorado.

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 13 firms and has passed the Series 66, Series 63, SIE and Series 7 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. UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment Management and financial planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 150 START DATE: 03/15/2016 ADDRESS: 401 W Mountain Ave, STE 101, Fort Collins CO 80521, United States DESCRIPTION: managing director / Advisor 2. UNITED CAPITAL RISK MANAGEMENT POSITION: Insurance Agent NATURE: Insurance agency used for processing fixed insurance and annuity business INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/15/2016 ADDRESS: 401 W Mountain Ave, STE 101, Fort Collins CO 80521, United States DESCRIPTION: Acting as an insurance agent and submitting business 3. POUDRE SCHOOL DISTRICT; NOT INVESTMENT RELATED; LOCATED IN FORT COLLINS, CO; ASSISTANT BASKETBALL COACH AT A HIGH SCHOOL; START DATE NOVEMBER 2024; 20 HOURS PER MONTH; NO TIME DURING TRADING HOURS; DUTIES INCLUDE COACHING BASKETBALL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Isaac Essay'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

Experience

Current

March 4, 2016 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 401 W. Mountain Ave Suite 101, Fort Collins, CO 80521

RIA

CRD#: 134600

Fort Collins, CO

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 401 W Mountain Ave Ste 101, Fort Collins, CO 80521

RIA

CRD#: 139627

Fort Collins, CO

Past

February 9, 2024 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

Fort Collins, CO

Past

September 4, 2020 - November 16, 2023

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

FORT COLLINS, CO

Past

September 4, 2020 - November 16, 2023

CRD#: 42132

FORT COLLINS, CO

Past

April 11, 2007 - October 22, 2007

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FORT COLLINS, CO

Past

September 1, 2003 - March 2, 2007

EDWARD JONES

CRD#: 250

ROCHESTER, MN

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 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.

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

IAR

Colorado
(3/4/2016)

Colorado
(11/3/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/10/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/28/2003

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: 8/25/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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 I. Essay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Isaac Essay's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

LION STREET FINANCIAL, LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIRST NATIONAL CAPITAL MARKETS

FIRST NATIONAL CAPITAL MARKETS

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

CUSO FINANCIAL SERVICES, L.P.

CETERA WEALTH SERVICES, LLC

EDWARD JONES

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2007

Series 63

Date: 8/28/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/25/2003

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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