David L. Wiech

STATERA FINANCIAL

Walpole, MA 02081

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CRD#: 5276158

Professional summary

David Leonard Wiech, who also goes by Dave Wiech, is a registered financial advisor currently at STATERA FINANCIAL, LLC located in Walpole, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Wiech

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)Charter Financial; DBA Statera;yes investment related; 713 East Street, Suite 201, Walpole MA 02081; broker/ manager; 01/01/2010-present; 40 hours/month (20 during market hours); sale of life, disability, LTC and health insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Leonard Wiech'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®

None

Experience

Current

December 10, 2019 - Present

STATERA FINANCIAL, LLC

Office #1: 713 East Street, Walpole, MA 02081

RIA

CRD#: 304957

Walpole, MA

Past

January 11, 2016 - October 23, 2019

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Walpole, MA

Past

December 18, 2015 - October 23, 2019

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Walpole, MA

Past

June 23, 2014 - December 7, 2015

MML INVESTORS SERVICES, LLC

CRD#: 10409

FOXBORO, MA

Past

April 16, 2010 - June 19, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

WELLESLEY, MA

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

Massachusetts
(12/10/2019)

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: 6/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/15/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/29/2015

Investment Company Products/Variable Contracts Principal Examination

Current Firm

STATERA FINANCIAL, LLC

CRD#: 304957 / SEC#:

Massachusetts

Registered Investment Advisory firm - (12/10/2019 Approved)

Rhode Island

Registered Investment Advisory firm - (6/22/2020 Approved)

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Contact information

Main Address

713 East Street, Walpole, MA 02081

Mailing Address

Phone number

(774) 777-6646

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	266
AUM (Assets Under Management)	$ 43,000,000

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 L. Wiech

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Leonard Wiech's CRS (Customer Relationship Summary).

Certified licenses

Experience

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2015

Series 63

Date: 4/23/2010

SIE

Date: 10/1/2018

Series 6

Date: 4/15/2010

Series 26

Date: 12/29/2015

Current Firm

STATERA FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STATERA FINANCIAL, LLC

TRUST BUT VERIFY

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