David Faulkner, financial advisor Addison TX

David Faulkner

CRD Number: 4490886
Current Firm: Spectrum Advisors, Inc.

David Faulkner (CRD# 4490886) is an Investment Advisor Representative working at Spectrum Advisors, Inc. in Addison, TX and has over 21 years of experience in the finance industry. David Faulkner 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.

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Professional Designations
Company Name Location Dates Years
Spectrum Advisors, Inc. Addison, TX Feb 2016 - Current 8
Northwestern Mutual Wealth Management Company Milwaukee, WI Jan 2016 - Feb 2016 < 1
Northwestern Mutual Investment Services, LLC Allen, TX Aug 2011 - Feb 2016 4
Northwestern Mutual Life Insurance Company Milwaukee, WI Feb 2011 - Feb 2016 5
Northwestern Mutual Investment Services, LLC Dallas, TX Feb 2011 - Feb 2016 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2011
S66 NASAA Uniform Combined State Law Examination Apr 2002
Contact Info for David R. Faulkner
Phone Number: 972-931-3700
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    118
    MILLIONS
  • Total Number of Accounts
    740
    ACCOUNTS
  • Average Account Value
    $159,459
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

CO, TX

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