Unclaimed Profile

David Alan Theis

SECURITIES MONITORING GROUP, LLC·BUFFALO, Minnesota

Series 7, Series 24, Series 6322 years registeredSECURITIES 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 · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SECURITIES MONITORING GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

Mar 2011 – Dec 2011

BUFFALO, MN

INDEPENDENT FINANCIAL GROUP, LLC

Feb 2011 – Mar 2011

BUFFALO, MN

SECURITIES MONITORING GROUP, LLC

Dec 2003 – Aug 2012

BUFFALO, MN

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Registration record

First registered · December 4, 2003

Years registered · 22

Disclosure History

2013Regulatory·Final

2012Customer Dispute·Award / Judgment

2012Regulatory·Final

2011Customer Dispute·Award / Judgment

2010Customer Dispute·Award / Judgment

5 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SECURITIES MONITORING GROUP, LLC

CRD 113242 · SEC 801-60344

AUM

$77M

Regulatory assets under management

Employees

1,906 client accounts

Services offered by SECURITIES MONITORING GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at SECURITIES MONITORING GROUP, LLC →

Introduction

Speak with David

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if David is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in BUFFALO?

Browse all registered financial advisors in BUFFALO, Minnesota or claim this profile if it's yours.

Browse BUFFALO Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does David Alan Theis offer?

David Alan Theis specializes in Financial Planning, Investment Management.

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, last registered with SECURITIES MONITORING GROUP, LLC.

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.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →