David A. Pritchard

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CRD#: 4731295

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 Alan Pritchard, CFP®, CLU®, who also goes by David Pritchard, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2005. David had worked at 15 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Pritchard

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)08/02/2019 - Trustmark Financial Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 08/2019

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®

CFP^®

Certified Financial Planner

CLU^®

Chartered Life Underwriter

Experience

Past

August 12, 2024 - May 16, 2025

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

RIA

CRD#: 206518

MIRAMAR BEACH, FL

Past

August 7, 2019 - March 24, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA ROSA BEACH, FL

Past

August 6, 2019 - March 24, 2023

LPL FINANCIAL LLC

CRD#: 6413

SANTA ROSA BEACH, FL

Past

March 21, 2018 - August 1, 2019

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DESTIN, FL

Past

March 8, 2018 - August 1, 2019

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MOBILE, AL

Past

June 8, 2017 - March 7, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

OVERLAND PARK, KS

Past

June 8, 2017 - March 7, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

OVERLAND PARK, KS

Past

February 3, 2017 - June 6, 2017

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Topeka, KS

Past

November 21, 2016 - June 7, 2017

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Topeka, KS

Past

July 20, 2011 - April 18, 2016

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

July 20, 2011 - April 18, 2016

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

June 24, 2011 - July 18, 2011

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

OVERLAND PARK, KS

Past

June 6, 2011 - July 18, 2011

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

OVERLAND PARK, KS

Past

June 18, 2010 - June 1, 2011

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

TOPEKA, KS

Past

February 16, 2007 - May 3, 2010

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

EUDORA, KS

Past

February 16, 2007 - May 3, 2010

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

EUDORA, KS

Past

October 17, 2006 - March 1, 2007

SII INVESTMENTS, INC.

RIA

CRD#: 2225

OVERLAND PARK, KS

Past

October 17, 2006 - March 1, 2007

SII INVESTMENTS, INC.

CRD#: 2225

OVERLAND PARK, KS

Past

February 9, 2006 - October 26, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

OVERLAND PARK, KS

Past

April 20, 2005 - February 1, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

OVERLAND PARK, KS

Past

March 31, 2005 - February 1, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

OVERLAND PARK, KS

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".

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

CRD#: 206518 / SEC#: 801-127246

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

Florida

Registered Investment Advisory firm - (7/17/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

Illinois

Registered Investment Advisory firm - (7/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2023 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.

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 66

Date: 4/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/30/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2014

General Securities Principal Examination

Current Firm

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

CRD#: 206518 / SEC#: 801-127246

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

Florida

Registered Investment Advisory firm - (7/17/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

Illinois

Registered Investment Advisory firm - (7/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2023 Terminated)

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Contact information

Main Address

111 W. Oak Avenue Ste 450, Tampa, FL 33602

Mailing Address

Phone number

(866) 929-3258

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (8/5/2025)

Regulatory assets under management

Total Number of Accounts	582
AUM (Assets Under Management)	$ 220,278,095

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David A. Pritchard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MADISON AVENUE SECURITIES, LLC

AE WEALTH MANAGEMENT, LLC

WADDELL & REED

WADDELL & REED

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

MML INVESTORS SERVICES, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 4/15/2005

SIE

Date: 10/1/2018

Series 31

Date: 4/22/2005

Series 7

Date: 3/30/2005

Series 24

Date: 4/17/2014

Current Firm

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

TRUST BUT VERIFY

Contact information

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