DT
David L. Tinney
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CRD#: 821949
DT
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 Lyn Tinney was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
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®
NoneExperience
Past
April 19, 2021 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
April 19, 2021 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
April 19, 2021 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
April 28, 2014 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
April 28, 2014 - December 2, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 3, 2011 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
PHOENIX, AZ
Past
February 17, 2011 - November 4, 2011
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
GILBERT, AZ
Past
May 27, 2009 - May 21, 2010
WOODMEN FINANCIAL SERVICES, INC.
BD
CRD#: 117365
OMAHA, NE
Past
April 25, 2003 - June 9, 2008
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
GILBERT, AZ
Past
February 7, 2002 - April 2, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
March 5, 1997 - February 5, 2002
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
August 5, 1996 - March 12, 1997
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 24220
GREENWOOD VILLAGE, CO
Past
March 1, 1996 - June 4, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 17, 1990 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
February 24, 1988 - August 16, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 24, 1988 - August 16, 1990
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
September 28, 1979 - January 20, 1988
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
October 27, 1976 - November 9, 1979
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
Past
May 10, 1976 - May 8, 1977
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 10, 1976 - May 8, 1977
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/4/1976
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
WOODBURY FINANCIAL SERVICES, INC.
0 | OPTIMIZE WEALTH STRATEGIES | ON TRACK FINANCIAL | OMADA FINANCIAL | OGLE WEALTH MANAGEMENT | OAK BROOK WEALTH MANAGEMENT | O'MALLEY WEALTH MANAGEMENT | NPB FINANCIAL | NORTHSTAR FINANCIAL SERVICES | NORTHPOINT FINANCIAL GROUP | NORTHEAST VALLEY FINANCIAL | NICOLAS JOHN FINANCIAL | NEXT PHASE FINANCIAL | NEW THOUGHT FINANCIAL GROUP | NCN FINANCIAL GROUP | NATIONAL WEALTH NETWORK | NATIONAL FINANCIAL ADVISORS | MY FINANCIAL TRAINER | MURPHY FINANCIAL SERVICES | MPC ADVISERS | MORGAN ADVISOR GROUP | MONTALBO FINANCIAL SERVICES | MONEY WISE PLANNING GROUP | MINKOFF CAPITAL | MINDFUL WEALTH ADVISORS | MENDHAM WEALTH MANAGEMENT | MENDAM WEALTH MANAGEMENT | MARTING FINANCIAL | MARTIN TAX & FINANCIAL SERVICES | MARTIN SHAPIRO FINANCIAL SERVICES | MARK SCHLAFER & CO. | MARATHON WEALTH & PROTECTION STRATEGIES | MACY WEALTH MANAGEMENT | LUNIN-PACK & FERRO FINANCIAL GROUP | LOVELACE AND HULLUM FINANCIAL GROUP | LOOKING GLASS FINANCIAL | LIQD INVESTMENTS | LIQD | LINDBERG FINANCIAL GROUP | LINDBERG FINANCIAL | LIFEWEALTH PRINCIPLES, LLC | LIFEWEALTH PLANNING GROUP | LENIUS FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY RETIREMENT PLAN SERVICES | LEGACY PREMIER ADVISORS | LEGACY PLANNING GROUP | LEGACY INVESTMENT SERVICES INC. | LEGACY INVESTMENT SERVICES | LAWRENCE E. EMMONS, CLU, CHFC, INVESTMENT ADVISORREPRESENTATIVE | LARSON FINANCIAL ADVISORS | KNOX FINANCIAL ADVISING | KHS WEALTH AND INSURANCE SERVICES | KELLER WEALTH | KAS INVESTMENT SERICES, INC. | K AND L PLANNING LLC | JONES INVESTMENT GROUP | INVESTMENT COMPONENT | INTEGRITY WEALTH SERVICES | INTEGRITY FIRST FINANCIAL | INCOME ADVISOR TEAM | HUTTON WEALTH MANAGEMENT | HUBER FINANCIAL GROUP | HIBBARD & RUBY WEALTH MANAGEMENT | HERSHEY INVESTMENTS | HEIKE WEALTH MANAGEMENT | HEDRICK WEALTH MANAGEMENT GROUP | HAVEN POINT WEALTH | HART FINANCIAL GROUP | HANNES FINANCIAL SERVICES | HADLEY FINANCIAL | GUIDED PATH FINANCIAL SERVICES & RETIREMENT PLANNING | GUIDANCE ADVISORS | GRIFFIN FINANCIAL LLC | GREYSTONE CAPITAL PARTNERS GROUP | GHJ FINANCIAL GROUP | GCG ADVISORY PARTNERS | GATEWAY CAPTIAL ADIVSORS | FPG PRIVATE WEALTH ADVISORS | FORTIS INVESTORS, INC. | FOCUS INVESTMENT SERVICES | FIRST MATE FINANCIAL ADVISORS | FINANCIAL PLANNING AND WEALTH MANAGEMENT | FINANCIAL PARTNERS GROUP | FINANCIAL DESIGN CENTER | FERDINANDSEN FINANCIAL GROUP | FERD GARCIA WEALTH MANAGEMENT | FELICIANO FINANCIAL GROUP | FAIRLEY WEALTH MANAGEMENT | EXPEDITION WEALTH MANAGEMENT | ETHOS WEALTH PLANNING | ETERNAL WEALTH MANAGEMENT | ERICKSON FINANCIAL ADVISORS | ENVISION RETIREMENT MANAGEMENT | ENGAGE FINANCIAL GROUP | EMPLOYER 401(K) SOLUTIONS | ELEKTRON WEALTH MANAGEMENT | DRESSLER FINANCIAL SERVICES | DOUGHTY FINANCIAL GROUP | DOTY FINANCIAL SOLUTIONS | DEMERY WEALTH ADVISORS | DECISION CAPITAL | DEAN FINANCIAL PLANNING SOLUTIONS | D&L FINANCIAL ADVISORS | CUI WEALTH MANAGEMENT | CUE FINANCIAL OF OKLAHOMA | CROSSBRIDGE WEALTH MANAGEMENT | CROSS FINANCIAL | CROMER FAMILY FINANCIAL | CREATIVE FINANCIAL GROUP | COTTON MILL ADVISORS | CORNERSTONE WEALTH MANAGEMENT | CONSULTANTS IN WEALTH MANAGEMENT | CONKIN FINANCIAL GROUP | COMPREHENSIVE WEALTH SOLUTIONS | COLLABORATIVE WEALTH STRATEGIES | CML WEALTH MANAGEMENT | CLEAR FINANCIAL NETWORK | CLEAR DIRECTION INVESTMENTS | CIRCLE CITY WEALTH ADVISORS | CHRIS RHYNE FINANCIAL MANAGEMENT | CENTERPOINT FINANCIAL SERVICES | CAPITAL HARVEST WEALTH PARTNERS | CALDERWOOD FINANCIAL STRATEGIES | BUNKER FINANCIAL SOLUTIONS | BULLISH BAER | BRUCE GEIGER WFS | BROOKSTONE WEALTH STRATEGIES | BRACKER WEALTH MANAGEMENT | BLUEBIRD WEALTH PARTNERS | BLUE PACIFIC ADVISORS | BETTINGER FINANCIAL | BERNSTEIN FINANCIAL GROUP | BARTHEN FINANCIAL & INSURANCE SERVICES | BARNAS FINANCIAL | AVENTURINE WEALTH MANAGEMENT | ATRIUM WEALTH ADVISORS | ATLAS FINANCIAL PLANNING | AMEV INVESTORS, INC. | AMERICAN FINANCIAL SERVICES | ALPINE PLANNING GROUP | ALPINE FINANCIAL PLANNING GROUP | ALPHA WEALTH ADVISORS, LLC | ALLIANCE FINANCIAL SERVICES INVESTMENT AND RETIREMENT ADVISORS | ALLIANCE FIANNCIAL SERVICES | ALLEN FINANCIAL ADVISEMENT | ADVANCED CAPITAL STRATEGIES | ADVANCE FINANCIAL SERVICES | 3RD COAST FINANCIAL...
CRD#: 421 / SEC#: 801-54905, 8-13846
BD
Terminated by SEC on 03/24/2024
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Contact information
Main Address
7755 3rd Street North, Oakdale, MN 55128
Mailing Address
P.o. Box 64284, St. Paul, MN 55164-0284
Phone number
(800) 800-2638
Established
Minnesota since 03/15/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,002
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| COONEY, JOHN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 1326757 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FERGESEN, RICHARD DAVID | CEO, PRESIDENT, DIRECTOR | 717938 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HODGE, TIMOTHY ROBERT | CHIEF OPERATIONS OFFICER | 2220910 |
| NORTHRIP, IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 101,950 |
| AUM (Assets Under Management) | $ 19,278,448,046 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 10 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
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.
