David M. Dorsett

CALDWELL ADVISORS

Brentwood, TN 37027

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CRD#: 7833926

Professional summary

David M Dorsett, who also goes by David Merriman Dorsett, David Dorsett, is a registered financial advisor currently at CALDWELL ADVISORS, LLC located in Brentwood, Tennessee.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. David has worked at 3 firms and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Merriman Dorsett | David Dorsett

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David M Dorsett's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 5, 2026 - Present

CALDWELL ADVISORS, LLC

Office #1: 5210 Maryland Way Ste 202, Brentwood, TN 37027

RIA

CRD#: 144408

Brentwood, TN

Past

September 17, 2024 - March 5, 2025

GFG SOLUTIONS

RIA

CRD#: 331977

ORLANDO, FL

Past

June 21, 2024 - February 15, 2025

GFG SOLUTIONS

RIA

CRD#: 328988

ORLANDO, FL

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".

CALDWELL ADVISORS, LLC

CRD#: 144408 / SEC#: 801-106730

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

Tennessee

Registered Investment Advisory firm - (1/11/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/8/2016 Terminated)

Virginia

Registered Investment Advisory firm - (12/10/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(3/5/2026)

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 65

Date: 8/22/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/21/2023

Securities Industry Essentials Examination

Current Firm

CALDWELL ADVISORS, LLC

CRD#: 144408 / SEC#: 801-106730

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

Tennessee

Registered Investment Advisory firm - (1/11/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/8/2016 Terminated)

Virginia

Registered Investment Advisory firm - (12/10/2013 Terminated)

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Contact information

Main Address

5210 Maryland Way Ste 202, Brentwood, TN 37027

Mailing Address

Phone number

(615) 370-8988

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CALDWELL ADV 2A (7/30/2025)

CALDWELL WRAP BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	493
AUM (Assets Under Management)	$ 339,088,296

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 M. Dorsett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David M Dorsett's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALDWELL ADVISORS, LLC

GFG SOLUTIONS

GFG SOLUTIONS

Primary Firm SEC Registration

CALDWELL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2023

SIE

Date: 7/21/2023

Current Firm

CALDWELL ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALDWELL ADVISORS, LLC

TRUST BUT VERIFY

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