David Hellinger has been Managing Partner and Chief Compliance Officer of Independent Wealth Advisors since October 2023, is a control person of the firm and directly owns between 50% and 75% of it.
Independent Wealth Advisors, LLC is a Cary, NC firm with $195M under management, 258 clients and 4 advisers in one office, as of its June 2026 filing.
David Hellinger’s longest registration was 13 years at LPL Financial LLC (2010–2024). Before joining Independent Wealth Advisors in 2024, David Hellinger was registered through LPL Financial LLC and Ameriprise Financial Services, Inc.
- – present · 2 yearsCary, NC · Adviser representative · Firm CRD 328786
- LPL Financial LLC– · 13 yearsCary, NC · Adviser representative · Firm CRD 6413
- Ameriprise Financial Services, Inc.– · 6 yearsRaleigh, NC · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
David Hellinger is registered as an investment adviser representative in North Carolina, since March 2024.
- North CarolinaSince 19 March 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 3 September 2003 |
| Series 7 | General Securities Representative Examination | 4 August 2003 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Joseph Hellinger
- CRD
- 4677013
- Firm
- Independent Wealth Advisors · CRD 328786
- Role
- Managing Partner and Chief Compliance Officer
- Office
- 167 E. CHATHAM STREET, SUITE 300, Cary, NC 27511
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2003
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does David Hellinger work?
David Hellinger has been Managing Partner and Chief Compliance Officer of Independent Wealth Advisors, LLC since October 2023, and is a control person of the firm.
Is David Hellinger a financial advisor?
Yes. David Hellinger has a current investment-adviser registration in North Carolina, through Independent Wealth Advisors since March 2024.
How many years of experience does David Hellinger have?
David Hellinger has 23 years in the financial industry, since August 2003, across 3 adviser firms.
What exams has David Hellinger passed?
David Hellinger has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in August 2003. FINRA credited David Hellinger with the SIE, which began in October 2018.
Where did David Hellinger work before Independent Wealth Advisors?
Before Independent Wealth Advisors, David Hellinger was registered through LPL Financial LLC, April 2010 to March 2024; Ameriprise Financial Services, Inc., September 2003 to April 2010.
Where is David Hellinger based?
David Hellinger’s registered office is in Cary, NC.
Is David Hellinger registered with FINRA?
Yes. David Hellinger has a current broker registration, under CRD 4677013.
Source: FINRA BrokerCheck
How can I verify David Hellinger’s record?
Search CRD 4677013 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David Hellinger’s full registration record.