David K. Fowler

ROOSEVELT ADVISORS LLC

Portland, OR 97205

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CRD#: 6090758

Professional summary

David Keith Fowler is a registered financial advisor currently at ROOSEVELT ADVISORS LLC located in Portland, Oregon.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. David has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

National Advisor Group, Inc. POSITION: NA NATURE: NA INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 06/2018 ADDRESS: Portland, OR 97210 DESCRIPTION: Insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Keith Fowler'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

June 25, 2018 - Present

ROOSEVELT ADVISORS LLC

Office #1: 1017 Sw Morrison St. Suite 409, Portland, OR 97205

RIA

CRD#: 292524

Portland, OR

Past

October 10, 2012 - July 18, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

PORTLAND, OR

Past

September 7, 2012 - July 18, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

PORTLAND, OR

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

Oregon
(7/6/2018)

IAR

Texas
(6/25/2018)

IAR

Washington
(10/4/2018)

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: 9/22/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2012

General Securities Representative Examination

Current Firm

ROOSEVELT ADVISORS LLC

CRD#: 292524 / SEC#:

Arizona

Registered Investment Advisory firm - (11/21/2022 Terminated)

Montana

Registered Investment Advisory firm - (11/21/2022 Terminated)

Oregon

Registered Investment Advisory firm - (7/6/2018 Approved)

Texas

Registered Investment Advisory firm - (6/18/2018 Approved)

Washington

Registered Investment Advisory firm - (10/4/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Edinburg, TX

Mailing Address

Phone number

(503) 752-9652

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	262
AUM (Assets Under Management)	$ 18,555,000

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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David K. Fowler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Keith Fowler's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROOSEVELT ADVISORS LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2012

SIE

Date: 7/18/2018

Series 7

Date: 9/6/2012

Current Firm

ROOSEVELT ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROOSEVELT ADVISORS LLC

TRUST BUT VERIFY

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