David M. Fajardo

Some features on this profile are disabled

CRD#: 4703965

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Moises Fajardo, who also goes by David Fajardo, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2003. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Fajardo

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 4, 2017 - October 24, 2018

FDX ADVISORS, INC.

RIA

CRD#: 14251

PROVIDENCE, RI

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".

FDX ADVISORS, INC.

CRD#: 104601 / SEC#: 801-29775

RIA

Registered Investment Advisory firm - (7/2/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 3/4/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/15/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/16/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/1/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/2007

General Securities Principal Examination

Current Firm

FDX ADVISORS, INC.

CRD#: 104601 / SEC#: 801-29775

RIA

Registered Investment Advisory firm - (7/2/1987 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

222 N. Lasalle St., Suite 625, Chicago, IL 60601

Mailing Address

1000 Chesterbrook Blvd, Suite 250, Berwyn, PA 19312

Phone number

(312) 827-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FDX ADVISORS FORM ADV PART 2A (12/8/2025)

Regulatory assets under management

Total Number of Accounts	5,003
AUM (Assets Under Management)	$ 926,084,276

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

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David M. Fajardo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

ARGENTUS SECURITIES, LLC

SLD AMERICA EQUITIES, INC.

SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.

VOYA RETIREMENT ADVISORS, LLC

VOYA FINANCIAL PARTNERS, LLC

DIRECTED SERVICES LLC

VOYA FINANCIAL ADVISORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FDX ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2017

Series 63

Date: 6/15/2004

SIE

Date: 12/16/2014

Series 7

Date: 9/15/2007

Series 6

Date: 10/3/2003

Series 4

Date: 3/1/2008

Series 24

Date: 11/17/2007

Current Firm

FDX ADVISORS, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FDX ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors