David W. Green

GREEN FINANCIAL MANAGEMENT

Birmingham, AL 35223

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CRD#: 5619021

Professional summary

David Wayne Green, who also goes by David Green, is a registered financial advisor currently at GREEN FINANCIAL MANAGEMENT, LLC located in Birmingham, Alabama.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. David has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Green

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.

GREEN FINANCIAL IS ALSO AN INSURANCE AGENCY LICENSED WITH THE ALABAMA DEPARTMENT OF INSURANCE. DAVID W. GREEN, IN HIS INDIVIDUAL CAPACITY, IS A LICENSED INSURANCE AGENT, AND MAY RECOMMEND THE PURCHASE OF CERTAIN INSURANCE-RELATED PRODUCTS ON A COMMISSION BASIS. MR. GREEN SPENDS APPROXIMATELY TWO HOURS PER WEEK ON AVERAGE ON HIS INSURANCE BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Green'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 19, 2012 - Present

GREEN FINANCIAL MANAGEMENT, LLC

Office #1: 2850 Cahaba Road Suite 230, Birmingham, AL 35223

RIA

CRD#: 166135

Birmingham, AL

Past

February 10, 2012 - January 11, 2013

CLARK FINANCIAL ADVISORS

RIA

CRD#: 110955

BIRMINGHAM, AL

Past

November 1, 2011 - December 31, 2012

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

BIRMIGHAM, AL

Past

January 22, 2009 - October 31, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BIRMINGHAM, AL

Past

January 8, 2009 - October 31, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BIRMINGHAM, AL

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

Alabama
(12/19/2012)

IAR

New York
(4/13/2022)

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: 1/21/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/7/2009

General Securities Representative Examination

Current Firm

GREEN FINANCIAL MANAGEMENT, LLC

GREEN FINANCIAL MANAGEMENT, LLC | GREEN, DAVID WAYNE

CRD#: 166135 / SEC#:

Alabama

Registered Investment Advisory firm - (12/19/2012 Approved)

New York

Registered Investment Advisory firm - (5/8/2013 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/15/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/15/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2850 Cahaba Road Suite 230, Birmingham, AL 35223

Mailing Address

Phone number

(205) 423-5260

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	339
AUM (Assets Under Management)	$ 51,265,388

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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David W. Green

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Green's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREEN FINANCIAL MANAGEMENT, LLC

CLARK FINANCIAL ADVISORS

RESOURCE HORIZONS GROUP LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2009

Series 7

Date: 1/7/2009

Current Firm

GREEN FINANCIAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GREEN FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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