David S. Newby

SUMMIT WEALTH GROUP

SCOTTSDALE, AZ 85260

Some features on this profile are disabled

CRD#: 5356241

Professional summary

David S Newby, CFP®, who also goes by David Newby, is a registered financial advisor currently at SUMMIT WEALTH GROUP located in Scottsdale, Arizona.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. David has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Newby

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.

Fixed insurance sales; Located at 14500 N. Northsight Blvd, Suite 112, Scottsdale, AZ 85260, as of 10/01/2024; 10% of time spent during business hours; Conducted at branch location; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David S Newby's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

April 16, 2025 - Present

SUMMIT WEALTH GROUP

Office #1: 14500 N Northsight Blvd, Scottsdale, AZ 85260

RIA

CRD#: 335242

SCOTTSDALE, AZ

Past

October 2, 2024 - May 1, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Scottsdale, AZ

Past

October 2, 2024 - May 1, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Scottsdale, AZ

Past

October 26, 2012 - October 7, 2024

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

May 21, 2010 - October 22, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

GREENWOOD VILLAGE, CO

Past

May 21, 2010 - October 22, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

GREENWOOD VILLAGE, CO

Past

May 7, 2010 - October 22, 2012

TD AMERITRADE, INC.

CRD#: 7870

GREENWOOD VILLAGE, CO

Past

March 22, 2010 - May 5, 2010

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

SCOTTSDALE, AZ

Past

September 19, 2007 - March 31, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

DENVER, CO

Past

July 27, 2007 - March 31, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

DENVER, CO

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".

SUMMIT WEALTH GROUP

SUMMIT WEALTH GROUP | SUMMIT WEALTH GROUP, INC. | SUMMIT WEALTH GROUP LLC

CRD#: 335242 / SEC#: 801-132262

RIA

Registered Investment Advisory firm - (3/27/2025 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
(4/16/2025)

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 66

Date: 5/20/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2007

General Securities Representative Examination

Current Firm

SUMMIT WEALTH GROUP

SUMMIT WEALTH GROUP | SUMMIT WEALTH GROUP, INC. | SUMMIT WEALTH GROUP LLC

CRD#: 335242 / SEC#: 801-132262

RIA

Registered Investment Advisory firm - (3/27/2025 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

13710 Struthers Road, Suite 115, Colorado Springs, CO 80921

Mailing Address

Phone number

(719) 633-4033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUMMIT WEALTH GROUP DISCLOSURE BROCHURE (7/21/2025)

Regulatory assets under management

Total Number of Accounts	4,911
AUM (Assets Under Management)	$ 1,353,760,295

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David S. Newby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David S Newby's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SUNSET FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SUMMIT WEALTH GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2010

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2007

Current Firm

SUMMIT WEALTH GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT WEALTH GROUP

TRUST BUT VERIFY

Similar Advisors