David J. Ettl

DAVID ETTL FINANCIAL

Grass Valley, CA

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CRD#: 865173

Professional summary

David John Ettl is a registered financial advisor currently at DAVID ETTL FINANCIAL located in Grass Valley, California.

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

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David John Ettl'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®

None

Experience

Current

September 13, 2011 - Present

DAVID ETTL FINANCIAL

RIA

CRD#: 158127

Grass Valley, CA

Past

March 23, 2009 - July 15, 2011

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

GRASS VALLEY, CA

Past

March 23, 2009 - July 15, 2011

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

GRASS VALLEY, CA

Past

December 15, 2003 - March 23, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GRASS VALLEY, CA

Past

October 16, 2003 - March 23, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GRASS VALLEY, CA

Past

July 8, 1997 - October 30, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GRASS VALLEY, CA

Past

October 23, 1996 - October 30, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 13, 1991 - November 18, 1996

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 6, 1988 - February 12, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 15, 1988 - September 27, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

April 8, 1981 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 1, 1979 - May 6, 1981

BIRR, WILSON & CO., INC.

CRD#: 93

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
(9/13/2011)

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: 11/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/24/1999

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

Current Firm

DAVID ETTL FINANCIAL

DAVID ETTL FINANCIAL | DAVID JOHN ETTL

CRD#: 158127 / SEC#:

California

Registered Investment Advisory firm - (9/13/2011 Approved)

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Contact information

Main Address

Lincoln, CA

Mailing Address

Phone number

(530) 755-6449

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	108
AUM (Assets Under Management)	$ 24,938,870

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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Firm Stability Insights

David J. Ettl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David John Ettl's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

A. G. EDWARDS & SONS, INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

BIRR, WILSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/1986

Series 7

Date: 4/21/1979

Series 8

Date: 2/24/1999

Current Firm

DAVID ETTL FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DAVID ETTL FINANCIAL

TRUST BUT VERIFY

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