David G. Mann

HIGHLAND CAPITAL ADVISORS

Issaquah, WA 98027

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CRD#: 4890200

Professional summary

David Geoffrey Mann is a registered financial advisor currently at HIGHLAND CAPITAL ADVISORS, LLC located in Issaquah, Washington.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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 Geoffrey Mann'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®

None

Experience

Current

January 22, 2018 - Present

HIGHLAND CAPITAL ADVISORS, LLC

Office #1: 485 Rainier Blvd North Suite 103, Issaquah, WA 98027

RIA

CRD#: 139780

Issaquah, WA

Past

October 14, 2015 - December 7, 2017

LPL FINANCIAL LLC

CRD#: 6413

BELLEVUE, WA

Past

September 21, 2012 - January 13, 2015

LPL FINANCIAL LLC

CRD#: 6413

BELLEVUE, WA

Past

December 14, 2006 - April 24, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

SEATTLE, WA

Past

December 7, 2005 - October 30, 2006

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

March 10, 2005 - October 24, 2005

INVESMART SECURITIES, LLC

CRD#: 104168

PITTSBURGH, PA

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".

HIGHLAND CAPITAL ADVISORS, LLC

CRD#: 139780 / SEC#: 801-66336

RIA

Registered Investment Advisory firm - (5/21/2006 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.

Highlighted states indicate IAR registrations

IAR

Washington
(1/22/2018)

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: 1/22/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2010

General Securities Principal Examination

Current Firm

HIGHLAND CAPITAL ADVISORS, LLC

CRD#: 139780 / SEC#: 801-66336

RIA

Registered Investment Advisory firm - (5/21/2006 Approved)

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Contact information

Main Address

485 Rainier Blvd North Suite 103, Issaquah, WA 98027

Mailing Address

Phone number

+1 (800) 717-6180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HCA ADV PART 2A - IMPLEMENTED SOLUTIONS (1/29/2025)

HCA ADV PART 2A - INVESTMENT CONSULTING (1/29/2025)

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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Advisor Monitoring

Firm Stability Insights

David G. Mann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Geoffrey Mann's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRINCIPAL SECURITIES, INC.

INVESMART SECURITIES, LLC

Primary Firm SEC Registration

HIGHLAND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2018

Series 63

Date: 4/5/2005

SIE

Date: 12/7/2017

Series 7

Date: 1/4/2006

Series 6

Date: 3/9/2005

Series 24

Date: 11/1/2010

Current Firm

HIGHLAND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

HIGHLAND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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