DU
David B. Utter
ONEDIGITAL
San Diego, CA 92122
Some features on this profile are disabled
CRD#: 600105
DU
Professional summary
David Bruce Utter, who also goes by David Utter, is a registered financial advisor currently at ONEDIGITAL located in San Diego, California and OSAIC WEALTH, INC. located in San Diego, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. David has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 10, Series 9, Series 4, Series 40 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Utter
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.
1) Real Estate Rental; not investment related; 50 Nohea Kai Dr, Unit 226, Lahaina, HI 96761; rental; 3/4 owner of rental condo; 1 hr/month; 0 hrs during trading; rental property 2) Trustee; investment related; San Diego, CA 92109; trustee; <1 hr/month devoted; 0 hours during trading; acting as trustee for 3 trust accounts that were initiated at the death of my previous wife 3) OneDigital; investment related; 6165 Greenwich Drive, Suite 340, San Diego, CA 92122; RIA; Adviser; senior vice president; 2/1/2020; 140 hrs/month; 6.5 hrs during trading; offer health, benefit and insurance products to public
CRS (Client Relationship Summary) - RIA
Click below to view David Bruce Utter'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®
NoneExperience
Current
December 4, 2018 - Present
ONEDIGITAL
Office #1: 6165 Greenwich Drive Suite 340, San Diego, CA 92122RIA
CRD#: 106766
San Diego, CA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 6165 Greenwich Drive Suite 340, San Diego, CA 92122RIA
BD
CRD#: 23131
San Diego, CA
Past
January 2, 2019 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
San Diego, CA
Past
November 30, 2010 - December 31, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
November 1, 2010 - December 31, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
SAN DIEGO, CA
Past
September 21, 2007 - December 1, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
LA JOLLA, CA
Past
September 21, 2007 - November 30, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
LA JOLLA, CA
Past
July 1, 2003 - September 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LA JOLLA, CA
Past
July 1, 2003 - September 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LA JOLLA, CA
Past
July 8, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
SAN DIEGO, CA
Past
July 11, 1984 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 13, 1983 - July 30, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
December 16, 1981 - October 18, 1983
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
April 1, 1975 - December 22, 1981
WEDBUSH SECURITIES INC.
BD
CRD#: 877
Past
April 2, 1968 - May 19, 1975
SHEARSON, HAMMILL & CO., INCORPORATED
BD
CRD#: 766
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".
ON
ONEDIGITAL
(K)RPG | WESTMINSTER CONSULTING | WEALTHSOURCE | VERTICAL FINANCIAL | TRIAD FINANCIAL ADVISORS | TIMESCALE FINANCIAL | THE PINNACLE PLANNING GROUP | TEROS ADVISORS | STRATEGIC RETIREMENT GROUP | STONESTREET EQUITY | SHA RETIREMENT GROUP | SERVICE PLANNING CORPORATION | RETIREMENT PARTNER ADVISORS (RPA) | RETIREMENT BENEFITS GROUP | RESOURCES INVESTMENT ADVISORS, LLC | RESOURCES INVESTMENT ADVISORS INC | RESOURCES INVESTMENT ADVISORS | PROSPERITY FINANCIAL GROUP MIDWEST (PFG) | PRAXIS CONSULTING | PENSION INVESTMENT SERVICES, LLC | ONEDIGITAL RETIREMENT AND WEALTH | ONEDIGITAL INVESTMENT ADVISORS LLC | ONEDIGITAL INVESTMENT ADVISORS | ONEDIGITAL FINANCIAL SERVICES | ONEDIGITAL | MONTGOMERY RETIREMENT PLAN ADVISORS | LEGACY ASSET MANAGEMENT | KZ WEALTH | KEYSTONE RETIREMENT & INSURANCE ADVISORS | KB FINANCIAL | JFL TOTAL WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | HM CAPITAL MANAGEMENT | GROEBL BROTHERS | GOULDIN & MCCARTHY | GHC ASSOCIATES | GENERATIONS WEALTH PLANNING | FUTURE BENEFITS | FULCRUM PARTNERS | FLORIDA PENSION GROUP | FIDUCIARY PLAN ADVISORS | EAST MAIN STREET ADVISORS | CLEARVIEW ADVISORY | CHEPENIK FINANCIAL | CAPSTONE ADVISORY GROUP | CAFARO GREENLEAF | BUKATY MORRIS RETIREMENT SERVICES | BUKATY MORRIS RETIREMENT PLAN SERVICES | BUKATY COMPANIES WEALTH MANAGEMENT | BUKATY COMPANIES RETIREMENT PLAN SERVICES | BUKATY COMPANIES O'RENICK WEALTH MANAGEMENT | BUKATY COMPANIES FINANCIAL SERVICES | ATLANTA RETIREMENT PARTNERS | ASI WEALTH MANAGEMENT | AREA FINANCIAL | ACT 2 RETIREMENT CONSULTING | 401K ADVISORS INTERMOUNTAIN | 401(K) RESOURCES | 401(K) ADVISORS INTERMOUNTAIN
CRD#: 106766 / SEC#: 801-40622
RIA
Registered Investment Advisory firm - (1/22/1992 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.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
Arizona(8/23/2024)
IAR
California(12/4/2018)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Connecticut(8/23/2024)
RR
Florida(8/23/2024)
RR
Idaho(8/23/2024)
RR
Nevada(8/23/2024)
RR
New Hampshire(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New York(8/23/2024)
RR
Oregon(8/23/2024)
IAR
Texas(12/6/2018)
RR
Texas(8/23/2024)
RR
Virginia(8/23/2024)
RR
Washington(8/23/2024)
RR
Wisconsin(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/29/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 8/21/1972
Registered Principal ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 10/18/1971
NYSE Branch Manager ExaminationSRO Registrations
RR
FINRA
Current Firm
ON
ONEDIGITAL
(K)RPG | WESTMINSTER CONSULTING | WEALTHSOURCE | VERTICAL FINANCIAL | TRIAD FINANCIAL ADVISORS | TIMESCALE FINANCIAL | THE PINNACLE PLANNING GROUP | TEROS ADVISORS | STRATEGIC RETIREMENT GROUP | STONESTREET EQUITY | SHA RETIREMENT GROUP | SERVICE PLANNING CORPORATION | RETIREMENT PARTNER ADVISORS (RPA) | RETIREMENT BENEFITS GROUP | RESOURCES INVESTMENT ADVISORS, LLC | RESOURCES INVESTMENT ADVISORS INC | RESOURCES INVESTMENT ADVISORS | PROSPERITY FINANCIAL GROUP MIDWEST (PFG) | PRAXIS CONSULTING | PENSION INVESTMENT SERVICES, LLC | ONEDIGITAL RETIREMENT AND WEALTH | ONEDIGITAL INVESTMENT ADVISORS LLC | ONEDIGITAL INVESTMENT ADVISORS | ONEDIGITAL FINANCIAL SERVICES | ONEDIGITAL | MONTGOMERY RETIREMENT PLAN ADVISORS | LEGACY ASSET MANAGEMENT | KZ WEALTH | KEYSTONE RETIREMENT & INSURANCE ADVISORS | KB FINANCIAL | JFL TOTAL WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | HM CAPITAL MANAGEMENT | GROEBL BROTHERS | GOULDIN & MCCARTHY | GHC ASSOCIATES | GENERATIONS WEALTH PLANNING | FUTURE BENEFITS | FULCRUM PARTNERS | FLORIDA PENSION GROUP | FIDUCIARY PLAN ADVISORS | EAST MAIN STREET ADVISORS | CLEARVIEW ADVISORY | CHEPENIK FINANCIAL | CAPSTONE ADVISORY GROUP | CAFARO GREENLEAF | BUKATY MORRIS RETIREMENT SERVICES | BUKATY MORRIS RETIREMENT PLAN SERVICES | BUKATY COMPANIES WEALTH MANAGEMENT | BUKATY COMPANIES RETIREMENT PLAN SERVICES | BUKATY COMPANIES O'RENICK WEALTH MANAGEMENT | BUKATY COMPANIES FINANCIAL SERVICES | ATLANTA RETIREMENT PARTNERS | ASI WEALTH MANAGEMENT | AREA FINANCIAL | ACT 2 RETIREMENT CONSULTING | 401K ADVISORS INTERMOUNTAIN | 401(K) RESOURCES | 401(K) ADVISORS INTERMOUNTAIN
CRD#: 106766 / SEC#: 801-40622
RIA
Registered Investment Advisory firm - (1/22/1992 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11101 Switzer Road Suite 200, Overland Park, KS 66210
Mailing Address
Phone number
(877) 742-2021
Established
Firm type
Fiscal year end
# of Employees
610
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 38,423 |
| AUM (Assets Under Management) | $ 142,602,344,768 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 08/27/2024 | ||
| 10/16/2023 |
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.
