David Carratt (CRD# 1835016) is an Investment Advisor Representative working at Securities America Advisors, Inc. in La Vista, NE and has over 25 years of experience in the finance industry. David Carratt has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 6243132
Edward Jones
CRD# 5297231
Charles Schwab & Company, Inc.
CRD# 6157826
Principal Advised Services
Company Name | Location | Dates | Years |
---|---|---|---|
Securities America, Inc. | La Vista, NE | Nov 2020 - Current | 3 |
Securities America Advisors, Inc. | La Vista, NE | Nov 2020 - Current | 3 |
Kms Financial Services, Inc. | Seattle, WA | Dec 2016 - Nov 2020 | 3 |
Metlife Securities Inc. | Bellevue, WA | Dec 2014 - Dec 2016 | 2 |
Unemployed | Mill Creeek, WA | Oct 2014 - Dec 2014 | < 1 |
Safeco Investment Services, Inc. | Seattle, WA | Jan 1998 - Oct 2014 | 16 |
Pnmr Securities, Inc. | Seattle, WA | Dec 1997 - Oct 2014 | 16 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Jun 1998 |
S65 | NASAA Investment Advisors Law Examination | Jun 1998 |
- NE
- WA
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Total Assets Under Management40,420MILLIONS
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Total Number of Accounts211,150ACCOUNTS
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Average Account Value$191,430
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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