DD
David V. Derosa
TRUTORO
Conway, AR 72032
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CRD#: 6887412
DD
Professional summary
David Vincent Derosa is a registered financial advisor currently at TRUTORO located in Conway, Arkansas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. David has worked at 3 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.
1. 5/15/2018 - Ponderosa Properties - Not Investment Related - Home Based & Conway, AR 72034 - Real Estate Rental - LLC Member/Property Manager - Start Date: 5/28/2010 - 10 Hours Per Month/0 Hours During Securities Trading - Time Spent 5%.
2. 5/15/2018 - Faulkner County Landlord Association - Not Investment Related - 2125 Harkrider St #16, Conway, AR 72032 - Non-Profit Board Member - Vice-President - Start Date: 01/01/2010 - 3 Hours Per Month/0 Hours During Securities Trading - Time Spent 1% - Conduct monthly meetings where we share best practices for property management.
3. 5/15/2018 - Gertrude E. DeRosa Revocable Trust - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Start Date: 09/29/2000 - 0 Hours Per Month During Securities Trading - Time Spent 1% - Durable POA and Durable POA for Health Care.
4. 5/15/2018 - Level Four Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/09/2018 - 80 Hours Per Month/20 wk Hours During Securities Trading - Time Spent 50%.
5. 7/11/2018 - Level Four Advisory Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:05/09/2018 - 80 Hours Per Month/20 WK Hours During Trading - Time Spent: 50% - I provide administrative support to Level Four Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 5/2018. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view David Vincent Derosa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Vincent Derosa'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
March 13, 2019 - Present
TRUTORO
Office #1: 2201 Washington Ave Suite 1, Conway, AR 72032RIA
BD
CRD#: 169291
Conway, AR
Current
March 13, 2019 - Present
TRUTORO
Office #1: 2201 Washington Ave Suite 1, Conway, AR 72032RIA
BD
CRD#: 169291
Conway, AR
Past
May 14, 2018 - March 15, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
CONWAY, AR
Past
March 13, 2018 - April 23, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CONWAY, AR
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".
TR
TRUTORO
BUTLER FINANCIAL SERVICES | VERITAS INDEPENDENT PARTNERS, LLC | TRUTORO | SUQUTRA INVESTMENTS | STRONG WEALTH MANAGEMENT | ROGERS FINANCIAL SERVICES | RIVERLAND WEALTH MANAGEMENT | PINNACLE WEALTH ADVISORS | PERSPECTIVES GROUP FINANCIAL | MINTON WEALTH STRATEGIES | JOE JUSTUS INSURANCE AGENCY | JIM D LEONARD, CPA | FOUNTAIN FINANCIAL & TAX | DICKERSON INSURANCE AND FINANCIAL SERVICES | CARDINAL INVESTMENT GROUP
CRD#: 169291 / SEC#: 801-120986, 8-69363
RIA
Registered Investment Advisory firm - SEC (4/28/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Montana
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (2/1/2019 Terminated)Texas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
Arkansas(3/13/2019)
IAR
Arkansas(3/13/2019)
RR
Texas(5/14/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
TRUTORO
BUTLER FINANCIAL SERVICES | VERITAS INDEPENDENT PARTNERS, LLC | TRUTORO | SUQUTRA INVESTMENTS | STRONG WEALTH MANAGEMENT | ROGERS FINANCIAL SERVICES | RIVERLAND WEALTH MANAGEMENT | PINNACLE WEALTH ADVISORS | PERSPECTIVES GROUP FINANCIAL | MINTON WEALTH STRATEGIES | JOE JUSTUS INSURANCE AGENCY | JIM D LEONARD, CPA | FOUNTAIN FINANCIAL & TAX | DICKERSON INSURANCE AND FINANCIAL SERVICES | CARDINAL INVESTMENT GROUP
CRD#: 169291 / SEC#: 801-120986, 8-69363
RIA
Registered Investment Advisory firm - SEC (4/28/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Montana
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (2/1/2019 Terminated)Texas
Registered Investment Advisory firm - SEC (4/30/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
2201 Washington Ave Suite 2, Conway, AR 72032
Mailing Address
2201 Washington Ave Ste 2, Conway, AR 72032
Phone number
(501) 358-6131
Established
Arkansas since 09/05/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
20
SEC notice filing (7 States and Territories)
FINRA licenses (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,172 |
| AUM (Assets Under Management) | $ 130,734,559 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRUTORO
CRD#: 169291Conway, AR 72032TRUST BUT VERIFY
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