David A. Bogart

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CRD#: 5423053

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 Allen Bogart, who also goes by David A Bogart, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2007. David had worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David A Bogart

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

May 8, 2017 - December 18, 2017

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Sterling Heights, MI

Past

May 8, 2017 - December 18, 2017

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

STERLING HEIGHTS, MI

Past

April 12, 2016 - April 22, 2017

SPECTRUM FINANCIAL RESOURCES

RIA

CRD#: 127453

TROY, MI

Past

February 5, 2016 - April 21, 2017

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

TROY, MI

Past

August 28, 2012 - January 26, 2016

SPEARHEAD CAPITAL, LLC

CRD#: 145560

GROSSE POINTE FARMS, MI

Past

January 11, 2012 - July 23, 2012

LEONARD & COMPANY

RIA

CRD#: 36527

BIRMINGHAM, MI

Past

December 7, 2011 - July 30, 2012

LEONARD & COMPANY

CRD#: 36527

BIRMINGHAM, MI

Past

September 21, 2010 - August 31, 2011

PLANTE MORAN FINANCIAL ADVISORS

RIA

CRD#: 112158

SOUTHFIELD, MI

Past

February 26, 2010 - August 31, 2011

PLANTE MORAN INSURANCE AGENCY

CRD#: 127257

SOUTHFIELD, MI

Past

April 6, 2009 - January 22, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FARMINGTON HILLS, MI

Past

November 23, 2007 - January 22, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FARMINGTON HILLS, MI

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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: 4/8/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/24/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/5/2007

General Securities Representative Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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 A. Bogart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

SPECTRUM FINANCIAL RESOURCES

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SPEARHEAD CAPITAL, LLC

LEONARD & COMPANY

LEONARD & COMPANY

PLANTE MORAN FINANCIAL ADVISORS

PLANTE MORAN INSURANCE AGENCY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2016

SIE

Date: 12/18/2017

Series 31

Date: 11/24/2008

Series 7

Date: 11/5/2007

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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