David M. Sharpe

SAVVY

Fontana, WI

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CRD#: 4916019

Professional summary

David Mark Sharpe, who also goes by Dave Sharpe, is a registered financial advisor currently at SAVVY located in Fontana, Wisconsin.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. David has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Sharpe

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.

**Licensed Independent Insurance Agent; Investment-related; 1241 John Q. Hammons Dr., Suite 302, Madison, WI 53717; Start 10/2019, Duties: Sale of Insurance products. **ROCK CENTRAL, INC.; Non investment-related; Position: Secretary and Board Member; Nature: Board Member; NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0; START: 08/16/2012; ADDRESS: 750 Veterans Parkway, Suite 104, Lake Geneva WI 5314,; DESCRIPTION: Responsible for minutes of board meetings and assisting in raising donations for a non-profit community music school.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mark Sharpe'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

April 10, 2025 - Present

SAVVY

RIA

CRD#: 318493

Fontana, WI

Past

November 30, 2022 - December 31, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Madison, WI

Past

October 6, 2022 - April 1, 2025

GOLDSTEIN ADVISORS, LLC

RIA

CRD#: 323125

MADISON, WI

Past

October 10, 2019 - December 1, 2022

ARBOR POINT ADVISORS

RIA

CRD#: 165127

Middleton, WI

Past

October 10, 2019 - December 1, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

MIDDLETON, WI

Past

September 9, 2011 - October 18, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LAKE GENEVA, WI

Past

September 9, 2011 - October 18, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LAKE GENEVA, WI

Past

June 28, 2007 - September 12, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BURLINGTON, WI

Past

June 28, 2007 - September 12, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BURLINGTON, WI

Past

July 11, 2006 - June 28, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

ELKHORN, 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".

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 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

Wisconsin
(4/10/2025)

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: 7/21/2006

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: 4/18/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/10/2006

General Securities Representative Examination

Current Firm

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

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Contact information

Main Address

111 West 33rd Street Unit 1410, New York, NY 10001

Mailing Address

Phone number

(833) 745-6789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAVVY ADV PART 2 (8/19/2025)

Regulatory assets under management

Total Number of Accounts	3,776
AUM (Assets Under Management)	$ 1,295,318,161

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 M. Sharpe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mark Sharpe's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

GOLDSTEIN ADVISORS, LLC

ARBOR POINT ADVISORS

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

SAVVY

State Registrations and Notice Filings

Exams

Series 66

Date: 7/21/2006

SIE

Date: 10/1/2018

Series 31

Date: 4/18/2012

Series 7

Date: 7/10/2006

Current Firm

SAVVY

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAVVY

TRUST BUT VERIFY

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