DF
David S. Frank
PEACHTREE WEALTH ADVISORS,
Atlanta, GA 30342
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CRD#: 4957297
DF
Professional summary
David Simon Frank is a registered financial advisor currently at PEACHTREE WEALTH ADVISORS, INC located in Atlanta, Georgia and ARKADIOS CAPITAL located in Atlanta, Georgia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 4 firms and has passed the Series 66, SIE 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.
1. Peachtree Wealth Advisors, Is Investment Related, 300 W. Wieuca Rd NE, A205, Atlanta, GA, 30342, United States, RIA, Owner, 10/1/2006, 160 hours per month, 20 hours per month during trading hours, Fee Based Compensation, Owner of the RIA Peachtree Wealth Advisors, Inc.
CRS (Client Relationship Summary) - RIA
Click below to view David Simon Frank'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
March 13, 2007 - Present
PEACHTREE WEALTH ADVISORS, INC
Office #1: 300 W. Wieuca Road Suite A205, Atlanta, GA 30342RIA
CRD#: 139779
Atlanta, GA
Current
October 2, 2023 - Present
ARKADIOS CAPITAL
Office #1: 300 W. Wieuca Road, Ste A205, Atlanta, GA 30342BD
CRD#: 282710
Atlanta, GA
Past
October 2, 2023 - October 4, 2023
ARKADIOS WEALTH ADVISORS
RIA
CRD#: 288863
Atlanta, GA
Past
July 28, 2006 - October 4, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
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".
PW
PEACHTREE WEALTH ADVISORS, INC
PEACHTREE WEALTH ADVISORS, INC | PRINCIPAL WEALTH ADVISORS, INC
CRD#: 139779 / SEC#: 801-119707
RIA
Registered Investment Advisory firm - (10/30/2020 Approved)Alabama
Registered Investment Advisory firm - (11/2/2020 Terminated)District of Columbia
Registered Investment Advisory firm - (11/2/2020 Terminated)Florida
Registered Investment Advisory firm - (11/2/2020 Terminated)Georgia
Registered Investment Advisory firm - (11/10/2020 Terminated)North Carolina
Registered Investment Advisory firm - (11/24/2020 Terminated)Texas
Registered Investment Advisory firm - (11/2/2020 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(10/2/2023)
IAR
Georgia(3/13/2007)
RR
Georgia(10/2/2023)
RR
North Dakota(10/2/2023)
RR
Ohio(10/2/2023)
RR
Texas(10/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PEACHTREE WEALTH ADVISORS, INC
PEACHTREE WEALTH ADVISORS, INC | PRINCIPAL WEALTH ADVISORS, INC
CRD#: 139779 / SEC#: 801-119707
RIA
Registered Investment Advisory firm - (10/30/2020 Approved)Alabama
Registered Investment Advisory firm - (11/2/2020 Terminated)District of Columbia
Registered Investment Advisory firm - (11/2/2020 Terminated)Florida
Registered Investment Advisory firm - (11/2/2020 Terminated)Georgia
Registered Investment Advisory firm - (11/10/2020 Terminated)North Carolina
Registered Investment Advisory firm - (11/24/2020 Terminated)Texas
Registered Investment Advisory firm - (11/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 W. Wieuca Road Suite A205, Atlanta, GA 30342
Mailing Address
Phone number
(404) 531-0965
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,274 |
| AUM (Assets Under Management) | $ 346,789,913 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
