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David Alan Theis

SECURITIES MONITORING GROUP, LLC·BUFFALO, Minnesota
Clean recordSECURITIES MONITORING GROUP, LLC
103 MARTY DRIVE, BUFFALO, MN 55313CRD# 1422471Firm CRD# 113242

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
David Alan Theis · BUFFALO, MN
Registration
CRD #1422471 · SECURITIES MONITORING GROUP, LLC
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

David Alan Theis is a registered financial advisor based in BUFFALO, Minnesota, affiliated with SECURITIES MONITORING GROUP, LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Client Types
Individuals
High Net Worth Individuals
Nonprofits & Foundations
Introduction

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03

Firm Overview

Firm
SECURITIES MONITORING GROUP, LLC
SECURITIES MONITORING GROUP, LLC
AUM
$77M
Regulatory assets under management
Employees
11
Total firm employees
View all advisors at SECURITIES MONITORING GROUP, LLC →
Services
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Charitable organization or education services
Other
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Background

Compensation
Percentage of AUM
Hourly charges
Subscription fees
Commissions
Regulatory
SEC/IARD CRD# 1422471
Firm CRD# 113242
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does David Alan Theis offer?
David Alan Theis specializes in Financial Planning, Investment Management. Contact their office in BUFFALO, Minnesota for a consultation.
What are David Alan Theis's credentials?
David Alan Theis is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is David Alan Theis located?
David Alan Theis is based in BUFFALO, Minnesota, working with SECURITIES MONITORING GROUP, LLC. Their office serves clients in the BUFFALO metropolitan area and surrounding communities.
How does David Alan Theis charge for services?
David Alan Theis's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SECURITIES MONITORING GROUP, LLC?
SECURITIES MONITORING GROUP, LLC has approximately 11 employees and manages $77M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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