DM
David E. Maxey
TREK FINANCIAL
Scottsdale, AZ 85255
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CRD#: 4927673
DM
Professional summary
David Elgin Maxey is a registered financial advisor currently at TREK FINANCIAL located in Scottsdale, Arizona.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. David has worked at 6 firms and has passed the Series 66 and Series 7 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.
DAVID MAXEY IS A LICENSED INSURANCE AGENT FOR WHICH HE RECEIVES COMMISSION ON PRODUCTS SOLD.
CRS (Client Relationship Summary) - RIA
Click below to view David Elgin Maxey'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®
NoneExperience
Current
October 10, 2025 - Present
TREK FINANCIAL
Office #1: 8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255RIA
CRD#: 109376
Scottsdale, AZ
Past
June 13, 2024 - June 10, 2025
HERITAGE FAMILY OFFICES, LLP
RIA
CRD#: 323930
SCOTTSDALE, AZ
Past
March 15, 2023 - December 31, 2023
HERITAGE FAMILY OFFICES, LLP
RIA
CRD#: 323930
PHOENIX, AZ
Past
July 7, 2017 - March 5, 2024
HERITAGE WEALTH MANAGEMENT, LLC
RIA
CRD#: 287909
PHOENIX, AZ
Past
September 15, 2014 - August 18, 2017
HERITAGE WEALTH MANAGEMENT, LLC
RIA
CRD#: 158107
PHOENIX, AZ
Past
May 15, 2008 - August 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MESA, AZ
Past
April 30, 2008 - August 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MESA, AZ
Past
April 5, 2007 - April 21, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SCOTTSDALE, AZ
Past
May 19, 2006 - April 21, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SCOTTSDALE, AZ
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".
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 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
Arizona(10/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 483-1510
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,057 |
| AUM (Assets Under Management) | $ 2,492,708,552 |
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.
