David Ulm is a registered investment advisor, based in Wayzata, MN, with 13 years of industry experience.
Location
15600 Wayzata Blvd, Suite 301, Wayzata, MN, 55391
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Dai Securities, LLCBroker
March 2025 - Present · 1 yr 1 mo
Dai Wealth, LLC
January 2025 - Present · 1 yr 3 mos
Previous Registrations
Frontier Asset Management, LLC
March 2018 - March 2025 · 7 yrs
Cedar Capital, LLC
February 2015 - July 2016 · 1 yr 5 mos
Foreside Fund Services, LLCBroker
October 2014 - July 2016 · 1 yr 9 mos
Good Harbor Financial
March 2014 - January 2015 · 10 mos
Northern Lights Distributors, LLCBroker
January 2014 - October 2014 · 9 mos
Invesco Advisers, INC.
February 2013 - January 2014 · 11 mos
Invesco Distributors, INC.Broker
November 2012 - January 2014 · 1 yr 2 mos
Franklin/templeton Distributors, INC.Broker
January 2011 - October 2012 · 1 yr 9 mos
State Registrations1 state
MN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.