David A. Hathaway

SHP WEALTH MANAGEMENT

Plymouth, MA 02360

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CRD#: 5838143

Professional summary

David A Hathaway, who also goes by David Hathaway, is a registered financial advisor currently at SHP WEALTH MANAGEMENT, LLC located in Plymouth, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Hathaway

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) - RIA

Click below to view David A Hathaway's CRS (Customer Relationship Summary).

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

July 30, 2018 - Present

SHP WEALTH MANAGEMENT, LLC

Office #1: 225 Water St Suite C210, Plymouth, MA 02360

RIA

CRD#: 174697

Plymouth, MA

Past

January 5, 2018 - July 31, 2018

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

DORCHESTER, MA

Past

December 22, 2017 - July 31, 2018

SANTANDER SECURITIES LLC

CRD#: 41791

DORCHESTER, MA

Past

June 24, 2016 - May 19, 2017

CAPITAL ADVISORS, INC.

RIA

CRD#: 104643

TULSA, OK

Past

September 10, 2012 - May 10, 2016

SII INVESTMENTS, INC.

RIA

CRD#: 2225

TULSA, OK

Past

April 19, 2011 - May 10, 2016

SII INVESTMENTS, INC.

CRD#: 2225

TULSA, OK

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".

SHP WEALTH MANAGEMENT, LLC

SHP FINANCIAL | SHP WEALTH MANAGEMENT, LLC | SHP FINANCIAL WEALTH MANAGEMENT LLC

CRD#: 174697 / SEC#: 801-108679

RIA

Registered Investment Advisory firm - (11/29/2016 Approved)

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

Massachusetts
(7/30/2018)

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: 9/7/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/18/2011

General Securities Representative Examination

Current Firm

SHP WEALTH MANAGEMENT, LLC

SHP FINANCIAL | SHP WEALTH MANAGEMENT, LLC | SHP FINANCIAL WEALTH MANAGEMENT LLC

CRD#: 174697 / SEC#: 801-108679

RIA

Registered Investment Advisory firm - (11/29/2016 Approved)

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Contact information

Main Address

225 Water St Suite C210, Plymouth, MA 02360

Mailing Address

Phone number

(508) 746-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - SHP WEALTH MANAGEMENT LLC (1/29/2026)

Regulatory assets under management

Total Number of Accounts	7,457
AUM (Assets Under Management)	$ 1,919,937,476

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. Hathaway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David A Hathaway's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHP WEALTH MANAGEMENT, LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

CAPITAL ADVISORS, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

Primary Firm SEC Registration

SHP WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/7/2012

SIE

Date: 7/31/2018

Series 7

Date: 4/18/2011

Current Firm

SHP WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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