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David Augustine Fortune

Other Names: David Augustine Fortung
Firm:
Independent Financial Group, LLC
Type: RIA
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Description

David Fortune a financial professional at Independent Financial Group, LLC, a broker-dealer with 492 registered representatives nationwide. David has held an industry securities registration for 29 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

David Augustine Fortune has not answered any questions on Financial Q&A.

Top Guides

David Augustine Fortune has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Independent Financial Group 2 years, 5 months Dec 2010 - Present
Securities America Advisor Inc 1 year, 11 months Jan 2009 - Dec 2010
Securities America, Inc. 1 year, 11 months Jan 2009 - Dec 2010
Aig Financial Advisors, Inc. 3 years, 3 months Oct 2005 - Jan 2009
Sunamerica Securities, Inc. 13 years, 5 months May 1992 - Oct 2005
Self Employed Personal Financial Planning 31 years, 1 month Apr 1982 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/17/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
12/17/2010
06/20/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 12/27/2007
General Securities Principal Examination Series 24 12/01/1993
Uniform Securities Agent State Law Examination Series 63 07/08/1988
General Securities Representative Examination Series 7 07/16/1983
Investment Company Products/Variable Contracts Representative Examination Series 6 11/09/1982

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions