David E. Hendershott

BROOKWOOD INVESTMENT GROUP

PASADENA, CA

Some features on this profile are disabled

CRD#: 860966

Professional summary

David Earl Hendershott is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Pasadena, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. David has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) BELPOINTE ASSET MANAGEMENT, INVESTMENT RELATED, LOCATED AT 500 DAMONTE RANCH PARKWAY, BUILDING 700, UNIT 700, RENO NV 89521; ADVISORY SERVICES; INVESTMENT ADVISOR REPRESENTATIVE, SINCE 4/2016, APPROX 80 HOURS PER MONTH; HOURS DURING TRADING: 50

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Earl Hendershott'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

May 8, 2023 - Present

BROOKWOOD INVESTMENT GROUP

RIA

CRD#: 316544

PASADENA, CA

Past

April 19, 2016 - June 30, 2023

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 143440

Altadena, CA

Past

February 19, 2015 - October 15, 2015

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

Newport Beach, CA

Past

January 2, 2015 - February 26, 2015

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

NEWPORT BEACH, CA

Past

January 2, 2015 - February 26, 2015

CALTON & ASSOCIATES, INC.

CRD#: 20999

NEWPORT BEACH, CA

Past

June 2, 2009 - December 31, 2014

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEWPORT BEACH, CA

Past

June 2, 2009 - December 31, 2014

OPPENHEIMER & CO. INC.

CRD#: 249

NEWPORT BEACH, CA

Past

July 8, 1997 - June 18, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOS ANGELES, CA

Past

March 20, 1987 - June 18, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LOS ANGELES, CA

Past

August 31, 1984 - February 20, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 25, 1984 - September 28, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

September 20, 1981 - January 9, 1984

JEFFERIES LLC

CRD#: 2347

Past

March 20, 1980 - September 2, 1981

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

Past

January 2, 1979 - March 22, 1980

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

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".

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 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

California
(5/8/2023)

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

Series 63

Date: 10/6/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/15/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/28/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3930 E. Ray Road Suite 155, Phoenix, AZ 85044

Mailing Address

Phone number

(480) 646-3504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	6,200
AUM (Assets Under Management)	$ 1,064,198,265

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David E. Hendershott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Earl Hendershott's CRS (Customer Relationship Summary).

Certified licenses

Experience

BELPOINTE ASSET MANAGEMENT LLC

TCFG WEALTH MANAGEMENT, LLC

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

BECKER PARIBAS INCORPORATED

JEFFERIES LLC

JEFFERIES EXECUTION SERVICES, INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/1980

SIE

Date: 10/15/2015

Series 7

Date: 12/16/1978

Series 8

Date: 10/28/1985

Current Firm

BROOKWOOD INVESTMENT GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKWOOD INVESTMENT GROUP

TRUST BUT VERIFY

Similar Advisors