David Howerton has been Chief Compliance Officer of FMB Wealth Management since July 2018, is not listed as a control person, but directly owns under 5% of the firm.
FMB Wealth Management is a Westlake Village, CA firm with $616M under management, 324 clients and 5 advisers in one office, as of its April 2026 filing.
David Howerton’s longest registration is the current one, 2 years at FMB Wealth Management since 2024.
- Indivisible PartnersAlso current– present · under a yearWestlake Village, CA · Adviser representative · Firm CRD 332431
- FMB Wealth ManagementCurrent– present · 2 yearsWestlake Village, CA · Adviser representative · Firm CRD 122309
Investment adviser representative registrations
David Howerton is registered as an investment adviser representative in California, since September 2024.
- CaliforniaSince 18 September 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 18 September 2024 |
| Series 24 | General Securities Principal Examination | 6 September 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 August 2003 |
| Series 7 | General Securities Representative Examination | 13 June 2002 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Ray Howerton
- CRD
- 4540828
- Firm
- FMB Wealth Management · CRD 122309
- Role
- Chief Compliance Officer
- Office
- 100 N. WESTLAKE BLVD., SUITE 201, Westlake Village, CA 91362
- Registration
- Investment adviser registration
- In the industry since
- September 2024
- Disciplinary history
- Not yet shown here · SEC record
Where does David Howerton work?
David Howerton has been Chief Compliance Officer of FMB Wealth Management since July 2018.
Is David Howerton a financial advisor?
Yes. David Howerton has a current investment-adviser registration in California, through FMB Wealth Management since September 2024.
How many years of experience does David Howerton have?
David Howerton has 2 years in the financial industry, since September 2024, across 2 adviser firms.
What exams has David Howerton passed?
David Howerton has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 65. The earliest, the Series 7, was passed in June 2002.
Where is David Howerton based?
David Howerton’s registered office is in Westlake Village, CA.
Is David Howerton registered with FINRA?
No. David Howerton has no current broker registration.
How can I verify David Howerton’s record?
Search CRD 4540828 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Howerton’s full registration record.
