David Gies

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CRD#: 5734716

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 Gies, who also goes by David Robert Gies, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2009. David had worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Robert Gies

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.

Real Estate Ownership; Single Family; Sun Valley, NV 89431; Investment Related; Jan 2009.

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

March 8, 2021 - July 1, 2025

FCI ADVISORS

RIA

CRD#: 6363

SOUTHBURY, CT

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".

FCI ADVISORS

FCI ADVISORS | MIDWEST ADVISORS | MIDWEST | FINANCIAL COUNSELORS INC

CRD#: 106398 / SEC#: 801-48195

RIA

Registered Investment Advisory firm - (1/12/1995 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: 1/19/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/24/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2009

General Securities Representative Examination

Current Firm

FCI ADVISORS

FCI ADVISORS | MIDWEST ADVISORS | MIDWEST | FINANCIAL COUNSELORS INC

CRD#: 106398 / SEC#: 801-48195

RIA

Registered Investment Advisory firm - (1/12/1995 Approved)

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Contact information

Main Address

5901 College Boulevard Suite 110, Overland Park, KS 66211

Mailing Address

Phone number

(913) 663-0660

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/13/2025)

Regulatory assets under management

Total Number of Accounts	740
AUM (Assets Under Management)	$ 1,902,330,516

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/25/2024	Cover Page	Report
12/29/2023	Cover Page	Report
11/29/2022	Cover Page	Report

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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Firm Stability Insights

David Gies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

REBY ADVISORS, LLC

TRIAD ADVISORS LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FCI ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2010

Series 7TO

Date: 8/24/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/17/2009

Current Firm

FCI ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FCI ADVISORS

TRUST BUT VERIFY

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