David R. Wagner
TIDECREST WEALTH MANAGEMENT | Senior Vice President
NEWPORT BEACH, CA 92660
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CRD#: 5257350
Professional summary
David Robert Wagner, CFA, CFP® is a registered financial advisor currently at TIDECREST WEALTH MANAGEMENT, LLC located in Newport Beach, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. David has worked at 4 firms and has passed the Series 66, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Institutional consulting
Trust & estate planning
Loans/credit services
Philanthropic services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
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. BROOKE WAGNER DESIGN, INC. NOT INVESTMENT RELATED CORONA DEL MAR, CALIFORNIA 92625 PART-TIME, START DATE 1/1/2004 4 HOUR(S) MONTHLY 0 HOURS DEVOTED DURING TRADING HOURS DUTIES: BROOKE WAGNER DESIGN, INC. IS AN INTERIOR DESIGN BUSINESS RUN BY MY WIFE, BROOKE WAGNER. I AM THE TREASURER AND SPEND A FEW HOURS EACH MONTH REVIEWING THE FINANCIALS AND INTERACTING WITH THE BUSINESS' ACCOUNTANT. 2. CDM Coastal Holdings, LLC not Investment related. Corona del Mar, California, 92625 General Partner/Managing Member Start date of relationship: 2/15/2022 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties:, Member of LLC holding company, which owns single commercial property. 3. Charitable CDM Girls Volleyball Foundation NOT Investment related Newport Beach, California, 92658 Treasurer Start date of relationship: 3/1/2023 Number of hours devoted: 2 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: Board Member & Treasurer
CRS (Client Relationship Summary) - RIA
Click below to view David Robert Wagner'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®
CFP®
Start date: 2004
Experience
Current
August 23, 2024 - Present
TIDECREST WEALTH MANAGEMENT, LLC
Office #1: 888 San Clemente Drive Suite 130, Newport Beach, CA 92660RIA
CRD#: 332422
NEWPORT BEACH, CA
Past
December 9, 2016 - August 26, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEWPORT BEACH, CA
Past
December 8, 2016 - August 26, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEWPORT BEACH, CA
Past
June 1, 2009 - December 12, 2016
MORGAN STANLEY
RIA
CRD#: 149777
NEWPORT BEACH, CA
Past
June 1, 2009 - December 12, 2016
MORGAN STANLEY
BD
CRD#: 149777
NEWPORT BEACH, CA
Past
March 21, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEWPORT BEACH, CA
Past
March 8, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEWPORT BEACH, CA
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".
TW
TIDECREST WEALTH MANAGEMENT, LLC
TIDECREST WEALTH MANAGEMENT, LLC
CRD#: 332422 / SEC#: 801-130960
RIA
Registered Investment Advisory firm - (8/21/2024 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
California(8/23/2024)
IAR
Texas(3/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
TIDECREST WEALTH MANAGEMENT, LLC
TIDECREST WEALTH MANAGEMENT, LLC
CRD#: 332422 / SEC#: 801-130960
RIA
Registered Investment Advisory firm - (8/21/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
888 San Clemente Drive Suite 130, Newport Beach, CA 92660
Mailing Address
Phone number
(949) 335-5202
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 307 |
| AUM (Assets Under Management) | $ 212,000,000 |
Red Flags
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Company Information
TIDECREST WEALTH MANAGEMENT, LLC
Senior Vice PresidentCRD#: 332422Newport Beach, CA 92660TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
