David Dirks has been Member, Partner, Chief Compliance Officer of Plum Street Advisors since November 2016, is a control person of the firm and directly owns between 50% and 75% of it.
Plum Street Advisors, LLC is a firm with $463M under management, 183 clients and 5 advisers across 5 offices, as of its June 2026 filing.
David Dirks is Founding Partner of Plum Street Advisors. Dirks has provided clients with comprehensive financial advice, managed their investment portfolios and built customized roadmaps for retirement since 2016.
- Plum Street Advisors, LLCCurrent– present · 9 yearsNewton, MA · Adviser representative · Firm CRD 283917
Investment adviser representative registrations
David Dirks is registered as an investment adviser representative in 6 states. The first approvals date from March 2017; the most recent is New York, in June 2021.
- CaliforniaSince 10 March 2017
- FloridaSince 19 July 2017
- LouisianaSince 10 March 2017
- MassachusettsSince 21 March 2017
- New YorkSince 12 June 2021
- WashingtonSince 11 July 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 10 March 2017 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 19 October 2012 |
| Series 24 | General Securities Principal Examination | 10 April 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 June 2006 |
| Series 7 | General Securities Representative Examination | 15 May 2006 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5136209
- Firm
- Plum Street Advisors · CRD 283917
- Role
- Member, Partner, Chief Compliance Officer
- Office
- 154 Wells Avenue, Suite 3, Newton, MA 02459
- Registration
- Investment adviser registration
- In the industry since
- March 2017
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- plumstreetadvisors.com
Where does David Dirks work?
David Dirks has been Member, Partner, Chief Compliance Officer of Plum Street Advisors, LLC since November 2016, and is a control person of the firm.
Is David Dirks a financial advisor?
Yes. David Dirks has a current investment-adviser registration in California, Florida, Louisiana, Massachusetts, New York and Washington, through Plum Street Advisors since March 2017.
How many years of experience does David Dirks have?
David Dirks has 9 years in the financial industry, since March 2017, across 1 adviser firm.
What exams has David Dirks passed?
David Dirks has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 3 and Series 65. The earliest, the Series 7, was passed in May 2006. FINRA credited David Dirks with the SIE, which began in October 2018.
Where is David Dirks based?
David Dirks’ registered office is in Newton, MA.
Is David Dirks registered with FINRA?
No. David Dirks has no current broker registration.
How can I verify David Dirks’ record?
Search CRD 5136209 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Dirks’ full registration record.
