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DH

David S. Hoar

Some features on this profile are disabled
CRD#: 7617481
DH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Stephen Hoar III, who also goes by David Stephen Hoar, David S. Hoar III, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2022. David had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

What are your service offerings?
Tax Planning Strategies
Wealth Preservation Strategies
Retirement Income Strategies
Are you a "fiduciary"?
No

Aliases

David Stephen Hoar | David S. Hoar Iii

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. 07/10/2024- Alta Wealth Advisors, LLC- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s). 2. 07/22/2024 - ALTA WEALTH ADVISORS, LLC - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 07/09/2024 - 160 Hours Per Month/ 8 Hours During Trading 3. 07/22/2024 - ALTA WEALTH ADVISORS, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 07/09/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through ALTA WEALTH ADVISORS, LLC, an independent investment advisor firm. I started this business activity in 7/2024. I expect to spend approximately 160 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 19, 2024 - December 2, 2024

ALTA WEALTH ADVISORS LLC

RIA
CRD#: 293675
WOBURN, MA
Past

July 10, 2024 - December 20, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
WOBURN, MA
Past

December 5, 2022 - December 20, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Middleton, MA
Past

October 21, 2022 - December 20, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Middleton, MA

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".
AW
ALTA WEALTH ADVISORS LLC
ALTA WEALTH ADVISORS LLC

CRD#: 293675 / SEC#: 801-112848

RIA
Registered Investment Advisory firm - (4/17/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/2/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/21/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/16/2022
Securities Industry Essentials Examination

Current Firm

AW
ALTA WEALTH ADVISORS LLC
ALTA WEALTH ADVISORS LLC

CRD#: 293675 / SEC#: 801-112848

RIA
Registered Investment Advisory firm - (4/17/2018 Approved)
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Contact information

Main Address
400 Tradecenter, Suite 4810, Woburn, MA 01801
Mailing Address
Phone number
(781) 404-6909
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ALTA WEALTH ADVISORS LLC WRAP FEE PROGRAM (2/26/2025)
ADV PART 2A-ALTA WEALTH ADVISORS LLC (2/26/2025)

Regulatory assets under management

Total Number of Accounts1,203
AUM (Assets Under Management)$ 495,478,972

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.

Company Information

ALTA WEALTH ADVISORS LLC

Financial AdvisorCRD#: 293675

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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