David A. Tolson

ARETE ADVISORS

Houston, TX 77057

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CRD#: 4787645

Professional summary

David A Tolson is a registered financial advisor currently at ARETE ADVISORS located in Houston, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. David has worked at 3 firms and has passed the Series 66, 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.

12/2018: Arete Insurance Services, LLC - Non-Variable Insurance - Investment Related - 1800 Bering Dr, Suite 940, Houston, TX 77057- Start 12/2018 - 20 Hr/Mo; 15% Time Spent - Life, disability, LTC, DI, fixed annuitites, health through Fidelity Financial and Wealth Design (Guardian) & Mass Mutual South Texas

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David A Tolson'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®

None

Experience

Current

January 16, 2019 - Present

ARETE ADVISORS

Office #1: 1800 Bering Dr. Suite 940, Houston, TX 77057

RIA

CRD#: 299636

Houston, TX

Past

September 1, 2016 - May 22, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

September 1, 2016 - May 22, 2019

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

August 28, 2007 - September 8, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

HOUSTON, TX

Past

June 29, 2004 - September 8, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

HOUSTON, TX

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

Texas
(1/16/2019)

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: 8/17/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/2004

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: 6/21/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARETE ADVISORS

ARETE ADVISORS | ARETE INVESTMENTS, LLC

CRD#: 299636 / SEC#:

Texas

Registered Investment Advisory firm - (1/16/2019 Approved)

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Contact information

Main Address

1800 Bering Dr. Suite 940, Houston, TX 77057

Mailing Address

Phone number

(832) 910-8437

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	157
AUM (Assets Under Management)	$ 40,958,004

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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David A. Tolson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David A Tolson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2007

Series 63

Date: 6/11/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2007

Series 6

Date: 6/24/2004

Current Firm

ARETE ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARETE ADVISORS

TRUST BUT VERIFY

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