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DW

David K. Weaver

Some features on this profile are disabled
CRD#: 5278080
DW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Kenneth Weaver, who also goes by David Weaver, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2007. David had worked at 4 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Weaver

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 21, 2014 - December 1, 2015

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
PHOENIX, AZ
Past

November 7, 2013 - December 12, 2013

EDWARD JONES

RIA
CRD#: 250
ST. LOUIS, MO
Past

October 21, 2013 - December 12, 2013

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

May 22, 2013 - September 18, 2013

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
PHOENIX, AZ
Past

May 17, 2013 - September 18, 2013

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
PHOENIX, AZ
Past

July 24, 2012 - December 14, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
CHANDLER, AZ
Past

January 31, 2008 - July 26, 2012

EDWARD JONES

RIA
CRD#: 250
TEMPE, AZ
Past

January 22, 2008 - July 26, 2012

EDWARD JONES

BD
CRD#: 250
TEMPE, AZ
Past

May 16, 2007 - November 29, 2007

EDWARD JONES

RIA
CRD#: 250
GLENDALE, AZ
Past

March 8, 2007 - November 29, 2007

EDWARD JONES

BD
CRD#: 250
GLENDALE, 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".
EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/7/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/2007
General Securities Representative Examination

Current Firm

EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)
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Contact information

Main Address
3945 Freedom Circle, Santa Clara, CA 95054
Mailing Address
Phone number
(800) 601-5957
Established
Firm type
Fiscal year end
# of Employees
1,616

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)
EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,552,934
AUM (Assets Under Management)$ 292,902,969,770

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.

Company Information

EDELMAN FINANCIAL ENGINES

CRD#: 104510

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