David Faulkner has been Shareholder of Spectrum Advisors since March 2021, is not listed as a control person, but directly owns between 25% and 50% of the firm. David Faulkner holds a BBA in Finance from Texas A&M University.
Spectrum Advisors, Inc. is a Plano, TX firm with $160M under management, 308 clients and 5 advisers across 5 offices, as of its September 2026 filing.
David R. Faulkner is Managing Partner & Financial Advisor of Spectrum Advisors. He has over two decades of experience, with a focus on retirement income planning. His career began with a personal practice at one of the largest investment and insurance companies in the country, and in 2016 he merged his practice with Spectrum Advisors. He holds workshops for people approaching or already in retirement.
David Faulkner’s longest registration is the current one, 10 years at Spectrum Advisors since 2016. Before joining Spectrum Advisors in 2016, David Faulkner was registered through Northwestern Mutual Investment Services,llc and Placemark Investments, Inc.
- Spectrum Advisors, Inc.Current– present · 10 yearsPlano, TX · Adviser representative · Firm CRD 114805
- Northwestern Mutual Investment Services,llc– · 4 yearsAllen, TX · Adviser representative · Firm CRD 2881
- Placemark Investments, Inc.– · 5 yearsAddison, TX · Adviser representative · Firm CRD 114680
Professional designations
Listed by Spectrum Advisors
- CFP®
- RICP®
Investment adviser representative registrations
David Faulkner is registered as an investment adviser representative in Texas, since March 2016.
- TexasSince 2 March 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 26 June 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 2 June 2011 |
| Series 24 | General Securities Principal Examination | 31 May 2002 |
| Series 66 | Uniform Combined State Law Examination | 4 April 2002 |
| Series 7 | General Securities Representative Examination | 18 March 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David R Faulkner
- CRD
- 4490886
- Firm
- Spectrum Advisors · CRD 114805
- Role
- Shareholder
- Office
- 2805 DALLAS PARKWAY, STE 200, Plano, TX 75093
- Registration
- Investment adviser registration
- In the industry since
- March 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- spectrumadvisors.net
Where does David Faulkner work?
David Faulkner has been Shareholder of Spectrum Advisors, Inc. since March 2021.
Is David Faulkner a financial advisor?
Yes. David Faulkner has a current investment-adviser registration in Texas, through Spectrum Advisors since March 2016.
How many years of experience does David Faulkner have?
David Faulkner has 20 years in the financial industry, since March 2006, across 3 adviser firms.
What exams has David Faulkner passed?
David Faulkner has passed 5 licensing exams: the Series 7, Series 66, Series 24, Series 6 and Series 63. The earliest, the Series 7, was passed in March 2002. FINRA credited David Faulkner with the SIE, which began in October 2018.
Where did David Faulkner work before Spectrum Advisors?
Before Spectrum Advisors, David Faulkner was registered through Northwestern Mutual Investment Services,llc, August 2011 to February 2016; Placemark Investments, Inc., August 2005 to January 2011.
Where is David Faulkner based?
David Faulkner’s registered office is in Plano, TX.
Is David Faulkner registered with FINRA?
No. David Faulkner has no current broker registration.
Is David Faulkner a CFP?
Spectrum Advisors lists David Faulkner with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: David R. Faulkner, CFP®, RICP® biography, spectrumadvisors.net
How can I verify David Faulkner’s record?
Search CRD 4490886 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Faulkner’s full registration record.
