David A. Robbins
MOORS & CABOT
Phoenix, AZ 85012
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CRD#: 5673670
Professional summary
David A Robbins, CFP®, ChFC®, who also goes by David Abraham Seely Robbins, David Robbins, is a registered financial advisor currently at MOORS & CABOT, INC. located in Phoenix, Arizona.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. David has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Abraham Seely Robbins | David Robbins
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.
ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: CONTENT VENDOR / FREELANCE WRITER START DATE: 7/21/2014 ADDRESS: 839 Phoenix, Arizona DETAILS: THE FREELANCE PRODUCING OF CONTENT FOR PRINT AND ELECTRONIC PUBLICATION, AS WELL AS DIRECT TO CONSUMER SALES. THIS CONTENT INCLUDES TEXT BASED MULTIMEDIA INCLUDING INCLUDING FICTION, NON-FICTION, JOURNALISTIC REPORTING AND/OR POETRY; VISUAL CONTENT INCLUDING BOTH DIGITAL AND FILM IMAGES, ANIMATIONS, ILLUSTRATIONS, GRAPHIC DESIGN AND INTERACTIVE CONTENT; AUDIO PRODUCTIONS INCLUDING SPOKEN WORD, VOCAL OR MUSICAL RECORDINGS AND INCLUDING JOURNALISTIC AUDIO INCLUDING PODCASTS OR REPORTING; VIDEO SUPPORT OR PRODUCTION GENERALLY DESIGNED TO ACCOMPANY SOME OTHER TYPE OF PREVIOUSLY MENTIONED CONTENT (INCLUDING PHOTOGRAPHY OR JOURNALISM). MAy include providing commentary and anlysis on matters related to financial planning though original articles and/or publications or printed/digital advertisements. HOURS DEDICATED (5 hours per week total, 1 hour during normal firm hours): HOURS DURING TRADING: 0 INVESTMENT RELATED: Yes ACTIVITY TYPE: 2 - OUTSIDE BUSINESS ACTIVITY www.advicebydavid.com / 839 E. Desert Park Lane, Phoenix, Arizona 85020 Sole proprietorship, Website www.advicebydavid.com is a marketing website owned by David Robbins as a sole proprietor. It is operated by David Robbins and Moors & Cabot, Inc. Advicebydavid.com is used exclusively to offer the products and services of Moors & Cabot, Inc. ACTIVITY TYPE 3: FINRA Dispute Resolution-Industry Arbitrator as of 2023, volunteer, less than 1 hour per week as applicable, honorarium paid if selected on case. ACTIVITY TYPE 4: Co-Owner of business through family trust; Paper Street Ventures, LLC; Provides B2B referrals for admin services, 0 hours during trading hours, receives compensation
CRS (Client Relationship Summary) - RIA
Click below to view David A Robbins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David A Robbins'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®
CFP®
Start date: 2017
Experience
Current
June 3, 2019 - Present
MOORS & CABOT, INC.
Office #1: 645 East Missouri Avenue Suite 170, Phoenix, AZ 85012RIA
BD
CRD#: 594
Phoenix, AZ
Current
June 3, 2019 - Present
MOORS & CABOT, INC.
Office #1: 645 East Missouri Avenue Suite 170, Phoenix, AZ 85012RIA
BD
CRD#: 594
Phoenix, AZ
Past
October 1, 2012 - June 17, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SCOTTSDALE, AZ
Past
October 1, 2012 - June 17, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SCOTTSDALE, AZ
Past
May 11, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PHOENIX, AZ
Past
April 26, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PHOENIX, AZ
Past
November 11, 2009 - March 22, 2010
WADDELL & REED
RIA
CRD#: 866
TUCSON, AZ
Past
September 4, 2009 - March 22, 2010
WADDELL & REED
BD
CRD#: 866
TUCSON, 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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/21/2022)
RR
Arizona(6/3/2019)
RR
California(6/3/2019)
RR
Colorado(6/3/2019)
RR
Connecticut(1/13/2021)
RR
Florida(6/3/2019)
RR
Georgia(3/3/2025)
RR
Hawaii(4/13/2023)
RR
Idaho(1/13/2021)
RR
Illinois(6/3/2019)
RR
Indiana(3/3/2025)
RR
Iowa(1/14/2021)
RR
Louisiana(10/25/2024)
RR
Maine(10/29/2019)
RR
Maryland(1/13/2021)
RR
Massachusetts(6/3/2019)
RR
Michigan(6/3/2019)
RR
Minnesota(6/3/2019)
RR
Mississippi(11/21/2022)
RR
Missouri(1/13/2021)
RR
Montana(1/18/2022)
RR
Nebraska(1/13/2021)
RR
Nevada(4/13/2020)
RR
New Jersey(6/3/2019)
RR
New Mexico(1/13/2021)
RR
New York(1/5/2024)
RR
North Carolina(5/12/2020)
RR
Ohio(11/21/2022)
RR
Oklahoma(1/13/2021)
RR
Oregon(11/21/2022)
RR
Pennsylvania(6/3/2019)
RR
South Carolina(11/21/2022)
RR
Tennessee(1/30/2024)
RR
Texas(6/3/2019)
IAR
Texas(6/3/2019)
RR
Utah(6/3/2019)
RR
Virginia(11/21/2022)
RR
Washington(9/20/2021)
RR
Wisconsin(1/13/2021)
RR
Wyoming(11/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
