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David J. Cavanagh

SAMMONS FINANCIAL NETWORK
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 5878253
DC

Professional summary

David Joseph Cavanagh is a registered financial professional currently at SAMMONS FINANCIAL NETWORK, LLC located in West Des Moines, Iowa.

David is registered as a RR (Registered Representative) and started their career in finance in 2011. David has worked at 2 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 6 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Joseph Cavanagh'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

March 16, 2020 - Present

SAMMONS FINANCIAL NETWORK, LLC

Office #1: 8300 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 158538
West Des Moines, IA
Past

February 5, 2011 - March 4, 2020

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Illinois
(3/16/2020)
RR
Indiana
(3/16/2020)
RR
Kentucky
(3/16/2020)
RR
Ohio
(3/16/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 3/16/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/13/2017
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/4/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SAMMONS FINANCIAL NETWORK, LLC
SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538 / SEC#: , 8-68905

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(855) 624-0180
Established
Delaware since 06/09/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAMMONS SECURITIES, INC.MANAGING MEMBER/ELECTED MANAGER
DYKHUIS, ARLEN GLENNFINOP PRINCIPAL5285074
LOWE, BILL LEOPRESIDENT2328135
SURETTE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER5217627

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.

Company Information

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538West Des Moines, IA 50266

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