David Colley has been Chief Operations Officer/Chief Compliance Officer of Crux Wealth Advisors since April 2024, is a control person of the firm and directly owns under 5% of it.
Crux Wealth Advisors is a Long Beach, CA firm with $548M under management, 676 clients and 11 advisers across 5 offices, as of its August 2026 filing.
David Colley’s longest registration was 18 years at Waddell & Reed (2001–2020). Before joining Crux Wealth Advisors in 2024, David Colley was registered through Raymond James Financial Services Advisors, Inc and Waddell & Reed.
- Crux Wealth AdvisorsCurrent– present · 2 yearsLong Beach, CA · Adviser representative · Firm CRD 330731
- Raymond James Financial Services Advisors, Inc– · 4 yearsLong Beach, CA · Adviser representative · Firm CRD 149018
- Waddell & Reed– · 18 yearsSherman Oaks, CA · Adviser representative · Firm CRD 866
Investment adviser representative registrations
David Colley is registered as an investment adviser representative in California, since August 2024.
- CaliforniaSince 3 August 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 29 September 2020 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 15 August 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 1 June 2001 |
| Series 7 | General Securities Representative Examination | 10 May 2001 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 4373786
- Firm
- Crux Wealth Advisors · CRD 330731
- Role
- Chief Operations Officer/Chief Compliance Officer
- Office
- 111 W. OCEAN BLVD, 4TH FLOOR, Long Beach, CA 90802
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does David Colley work?
David Colley has been Chief Operations Officer/Chief Compliance Officer of Crux Wealth Advisors since April 2024, and is a control person of the firm.
Is David Colley a financial advisor?
Yes. David Colley has a current investment-adviser registration in California, through Crux Wealth Advisors since August 2024.
How many years of experience does David Colley have?
David Colley has 25 years in the financial industry, since May 2001, across 3 adviser firms.
What exams has David Colley passed?
David Colley has passed 4 licensing exams: the Series 7, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in May 2001. FINRA credited David Colley with the SIE, which began in October 2018.
Where did David Colley work before Crux Wealth Advisors?
Before Crux Wealth Advisors, David Colley was registered through Raymond James Financial Services Advisors, Inc, January 2020 to August 2024; Waddell & Reed, June 2001 to January 2020.
Where is David Colley based?
David Colley’s registered office is in Long Beach, CA.
Is David Colley registered with FINRA?
Yes. David Colley has a current broker registration, under CRD 4373786.
Source: FINRA BrokerCheck
How can I verify David Colley’s record?
Search CRD 4373786 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David Colley’s full registration record.