DH
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
59 advisors
Number of Clients
5,035 clients
Average Client Portfolio
$495K average
Assets Under Management
$2.5B
Fee Structure
Investment management fees are based on an advisory agreement between the client and Trek Financial. The fees cover discretionary advice. Financial planning fees are negotiable, and may be waived or reduced at the discretion of the investment advisor representative. Additional fees may apply for certain model portfolios and options strategies.
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningTax Planning
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Advisor Information
Office location
2302 N. 3rd Street, Phoenix, AZ, 85004
Get directionsRegulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2013Denied
Criminal
January 1994Final Disposition
Other Business ActivitiesSells Insurance
David is insurance licensed and a Managing Member of TBH, LLC, which holds a convertible note for a software systems company, dedicating minimal time to this. He is also a board member of Affisio, LLC, which also holds a convertible note for a software systems company, and this also requires minimal time.
Employment History
Current Registrations
Trek Financial
March 2023 - Present · 2 yrs 10 mos
Previous Registrations
Heritage Wealth Management, LLC
November 2021 - April 2023 · 1 yr 5 mos
First Allied Advisory Services, INC.
February 2014 - June 2017 · 3 yrs 4 mos
First Allied Securities, INC.Broker
February 2014 - June 2017 · 3 yrs 4 mos
Prism Financial Concepts
January 2012 - June 2022 · 10 yrs 5 mos
Cambridge Investment Research, INC.Broker
June 2008 - February 2014 · 5 yrs 8 mos
Cambridge Investment Research Advisors, INC.
June 2008 - August 2012 · 4 yrs 2 mos
Multi-Financial Securities Corporation
March 2006 - June 2008 · 2 yrs 3 mos
Multi-Financial Securities CorporationBroker
February 2006 - June 2008 · 2 yrs 4 mos
Questar Asset Management, INC.
August 2005 - February 2006 · 6 mos
Questar Capital CorporationBroker
March 2004 - February 2006 · 1 yr 11 mos
State Registrations1 state
AZ
Advisor
Exams
No exam information available for this advisor.