David C. Mawhinney

STREAM FINANCIAL ADVICE

Orem, UT

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CRD#: 6907811

Professional summary

David Carlile Mawhinney, CFP®, who also goes by David Carlile Mawhinney, David Mawhinney, is a registered financial advisor currently at STREAM FINANCIAL ADVICE, LLC located in Orem, Utah.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Carlile Mawhinney | David Mawhinney

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carlile Mawhinney'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: 2019

Experience

Current

November 8, 2023 - Present

STREAM FINANCIAL ADVICE, LLC

RIA

CRD#: 327449

Orem, UT

Past

March 31, 2023 - July 6, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SALT LAKE CITY, UT

Past

March 29, 2023 - July 6, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

June 9, 2021 - November 18, 2021

PETERSON WEALTH ADVISORS, LLC

RIA

CRD#: 146349

OREM, UT

Past

August 28, 2018 - May 13, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

July 18, 2018 - May 13, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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

Utah
(11/8/2023)

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: 7/31/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2018

General Securities Representative Examination

Current Firm

STREAM FINANCIAL ADVICE, LLC

STREAM FINANCIAL ADVICE | STREAM FINANCIAL ADVICE, LLC | STREAM FINANCIAL ADVICE LLC

CRD#: 327449 / SEC#:

Utah

Registered Investment Advisory firm - (11/7/2023 Approved)

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Contact information

Main Address

Orem, UT

Mailing Address

Phone number

(801) 609-8085

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 C. Mawhinney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carlile Mawhinney's CRS (Customer Relationship Summary).

Certified licenses

Experience

STREAM FINANCIAL ADVICE, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

PETERSON WEALTH ADVISORS, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/18/2018

Current Firm

STREAM FINANCIAL ADVICE, LLC

Contact information

Documents

Red Flags

Company Information

STREAM FINANCIAL ADVICE, LLC

TRUST BUT VERIFY

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