DW
David M. Winkler
Some features on this profile are disabled
CRD#: 5506913
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 M. Winkler was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2008. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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. 04/08/2010 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life, DI, Fixed annuity, LTC, Partnership LTC. 2. 10/15/2015 - Insurance Whisperer Associates (LLC Pending) - NOT INV REL - 2400 Camino Ramon, Suite 175, San Ramon CA 94583 - Non-Variable Insurance - START 09/08/2015 - 30 HOURS PER MONTH, 20 DURING TRADING - Insurance Adviser. Insurance education and sales 3. 10/27/2021 - Vintage Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/25/2021 - 16 Hours Per Month During Securities Trading. 4. 11/5/2021 - Financial Advocates Investment Management - DBA: (Hybrid) Vintage Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - 10/25/2021 - 144 Hours Per Month During Securities Trading. 5. 11/5/2021 - Financial Advocates Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/25/2021 - 144 Hours Per Month During Securities Trading - I provide investment advisory services through Financial Advocates Investment Management, an independent investment advisor firm. I started this business activity in 10/2021. I expect to spend approximately 144 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
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®
NoneExperience
Past
October 25, 2021 - January 2, 2023
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
RIA
CRD#: 151298
Napa, CA
Past
March 11, 2011 - January 19, 2022
CORNERSTONE WEALTH MANAGEMENT, INC.
RIA
CRD#: 149053
SAN RAMON, CA
Past
September 8, 2009 - January 12, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
NAPA, CA
Past
September 8, 2009 - January 4, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
NAPA, CA
Past
February 9, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
SAN RAMON, CA
Past
February 6, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
SAN RAMON, CA
Past
January 8, 2009 - December 31, 2010
CORNERSTONE WEALTH MANAGEMENT, INC.
RIA
CRD#: 149053
SAN RAMON, CA
Past
September 26, 2008 - February 11, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
SAN RAMON, CA
Past
September 26, 2008 - February 11, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
SAN RAMON, 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".
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
Registered Investment Advisory firm - (6/15/2010 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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
Registered Investment Advisory firm - (6/15/2010 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
1601 Cooper Point Road Nw, Olympia, WA 98502
Mailing Address
Phone number
(360) 866-2345
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,288 |
| AUM (Assets Under Management) | $ 4,074,541,185 |
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.
