David L. Bennett

UNIFY FINANCIAL ADVISORS

CLEARWATER, FL 33756

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CRD#: 4761782

Professional summary

David Lloyd Bennett, CFP® is a registered financial advisor currently at UNIFY FINANCIAL ADVISORS located in Clearwater, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. David has worked at 4 firms and has passed the Series 65, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lloyd Bennett'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: 2017

Experience

Current

May 11, 2023 - Present

UNIFY FINANCIAL ADVISORS

Office #1: 1465 South Fort Harrison Avenue Suite 201, Clearwater, FL 33756

RIA

CRD#: 324120

CLEARWATER, FL

Past

September 26, 2017 - May 4, 2023

SUCCESSFUL PORTFOLIOS LLC

RIA

CRD#: 152429

CLEARWATER, FL

Past

November 8, 2006 - February 22, 2016

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CLEARWATER, FL

Past

March 21, 2005 - February 22, 2016

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CLEARWATER, FL

Past

February 26, 2004 - February 28, 2005

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

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".

UNIFY FINANCIAL ADVISORS

UNIFY FINANCIAL ADVISORS | UNIFY FINANCIAL LLC

CRD#: 324120 / SEC#: 801-130951

RIA

Registered Investment Advisory firm - (8/16/2024 Approved)

Florida

Registered Investment Advisory firm - (8/28/2024 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/11/2023)

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: 10/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/25/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNIFY FINANCIAL ADVISORS

UNIFY FINANCIAL ADVISORS | UNIFY FINANCIAL LLC

CRD#: 324120 / SEC#: 801-130951

RIA

Registered Investment Advisory firm - (8/16/2024 Approved)

Florida

Registered Investment Advisory firm - (8/28/2024 Terminated)

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Contact information

Main Address

1465 South Fort Harrison Avenue Suite 201, Clearwater, FL 33756

Mailing Address

Phone number

(727) 306-0299

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE & SUPPLEMENTS (3/27/2025)

Regulatory assets under management

Total Number of Accounts	562
AUM (Assets Under Management)	$ 123,740,576

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 L. Bennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lloyd Bennett's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUCCESSFUL PORTFOLIOS LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

UNIFY FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2006

Series 63

Date: 3/24/2004

SIE

Date: 2/22/2016

Series 7

Date: 2/27/2006

Series 6

Date: 2/25/2004

Current Firm

UNIFY FINANCIAL ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNIFY FINANCIAL ADVISORS

TRUST BUT VERIFY

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