DW
David R. Whaley
HORSE COVE PARTNERS
Nolensville, TN
Some features on this profile are disabled
CRD#: 7013866
DW
David Robert WhaleyHORSE COVE PARTNERS
Professional summary
David Robert Whaley is a registered financial advisor currently at HORSE COVE PARTNERS LLC located in Nolensville, Tennessee.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. David has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Always Fiduciary
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.
NASHVILLE WATER POLO CLUB POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/16/2021 ADDRESS: 1809 Paisley Drive, Nolensville TN 37135, United States DESCRIPTION: President, member of a board and coach of an organization that's sole mission is the education, promotion, and growth of the sport of water polo in Nashville and the surrounding areas. The club consist of two teams, a high school and an adult masters team separately run. Duties include developing a budget, managing pool rental agreements, and marketing and growth each of the teams. OTHER BUSINESS - Combined Insurance INVESTMENT RELATED: No ADDRESS: 1321 Murfreesboro Pike Ste 603 Nashville, TN 37217, United States NATURE: Supplemental Group Insurance POSITION: Prospecting and onboarding TITLE: Non-captive Independent Agent START DATE: 09/2023 NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: DESCRIPTION: Primary role is to prospect local small businesses and enroll employees in benefits.
CRS (Client Relationship Summary) - RIA
Click below to view David Robert Whaley'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
May 16, 2024 - Present
HORSE COVE PARTNERS LLC
RIA
CRD#: 172389
Nolensville, TN
Past
September 2, 2021 - December 8, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
NOLENSVILLE, TN
Past
August 19, 2021 - December 8, 2022
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NOLENSVILLE, TN
Past
June 13, 2019 - August 25, 2021
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
BRENTWOOD, TN
Past
November 21, 2018 - August 25, 2021
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
BRENTWOOD, TN
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".
HC
HORSE COVE PARTNERS LLC
HORSE COVE PARTNERS LLC
CRD#: 172389 / SEC#: 801-130046
RIA
Registered Investment Advisory firm - (5/16/2024 Approved)Georgia
Registered Investment Advisory firm - (7/2/2020 Approved)Indiana
Registered Investment Advisory firm - (9/4/2020 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.Highlighted states indicate IAR registrations
IAR
Tennessee(5/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/21/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
HC
HORSE COVE PARTNERS LLC
HORSE COVE PARTNERS LLC
CRD#: 172389 / SEC#: 801-130046
RIA
Registered Investment Advisory firm - (5/16/2024 Approved)Georgia
Registered Investment Advisory firm - (7/2/2020 Approved)Indiana
Registered Investment Advisory firm - (9/4/2020 Approved)Loading...
Contact information
Main Address
1899 Powers Ferry Rd Se Suite 120, Atlanta, GA 30339
Mailing Address
Phone number
(678) 905-5723
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 42 |
| AUM (Assets Under Management) | $ 101,564,415 |
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.
