David E. Whitaker

ROOTED PLANNING LLC

Mooresville, NC

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CRD#: 6488891

Professional summary

David Edwin Whitaker, CFP®, who also goes by David Edwin Whitaker, David Whitaker, is a registered financial advisor currently at ROOTED PLANNING LLC located in Mooresville, North Carolina.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. David has worked at 2 firms and has passed the Series 63, Series 7, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Edwin Whitaker | David Whitaker

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.

Insurance agent; yes; Mooresville NC; insurance sales; principal; 06/2019; 5 hrs/mo; 2 hrs/mo during trading hours; life insurance sales Rooted Finances LLC; no; Mooresville NC; tax preparation; principal; 02/2024; 25 hrs/mo; 16 hrs/mo during trading hours; tax preparation and consulting

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Edwin Whitaker'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

October 11, 2022 - Present

ROOTED PLANNING LLC

RIA

CRD#: 323227

Mooresville, NC

Past

September 22, 2017 - July 1, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEWPORT BEACH, CA

Past

May 6, 2016 - July 21, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CHARLOTTE, NC

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

North Carolina
(10/11/2022)

IAR

South Carolina
(7/16/2024)

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

Series 63

Date: 7/15/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/3/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/6/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROOTED PLANNING LLC

CRD#: 323227 / SEC#:

North Carolina

Registered Investment Advisory firm - (10/11/2022 Approved)

South Carolina

Registered Investment Advisory firm - (6/24/2024 Approved)

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Contact information

Main Address

Mooresville, NC

Mailing Address

Phone number

(980) 254-6747

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 7,180,609

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 E. Whitaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Edwin Whitaker's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROOTED PLANNING LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/2016

Series 7

Date: 10/3/2018

SIE

Date: 10/1/2018

Series 6

Date: 5/6/2016

Current Firm

ROOTED PLANNING LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROOTED PLANNING LLC

TRUST BUT VERIFY

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