David Sieben has been Principal and Chief Compliance Officer of Sieben Wealth Planning since September 2021, is a control person of the firm and directly owns 75% or more of it. David Sieben holds a Master's degree from the University of Wisconsin MBA Consortium program. David Sieben studied Daniels School of Business at the University of Denver.
Sieben Wealth Planning LLC is a firm with $161M under management, 86 clients and 2 advisers in one office, as of its February 2026 filing.
Dave Sieben is Founder of Sieben Wealth Planning, based in Edina, MN. He spent eight years at 3M in leadership roles before becoming a financial advisor in 2009. In 2021 he left RBC Wealth Management as a First Vice President to launch and direct Sieben Wealth Planning.
David Sieben’s longest registration was 11 years at RBC Capital Markets, LLC (2010–2021). Before joining Sieben Wealth Planning in 2021, David Sieben was registered through RBC Capital Markets, LLC.
- Sieben Wealth Planning LLCCurrent– present · 5 yearsEdina, MN · Adviser representative · Firm CRD 315368
- RBC Capital Markets, LLC– · 11 yearsMinneapolis, MN · Adviser representative · Firm CRD 31194
Investment adviser representative registrations
David Sieben is registered as an investment adviser representative in 2 states. The first approvals date from September 2021; the most recent is Texas, in January 2022.
- MinnesotaSince 29 September 2021
- TexasSince 4 January 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 30 December 2009 |
| Series 7 | General Securities Representative Examination | 5 December 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Michael Sieben
- CRD
- 5730105
- Firm
- Sieben Wealth Planning · CRD 315368
- Role
- Principal and Chief Compliance Officer
- Office
- Edina, MN
- Registration
- Investment adviser registration
- In the industry since
- December 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- siebenwp.com
Where does David Sieben work?
David Sieben has been Principal and Chief Compliance Officer of Sieben Wealth Planning LLC since September 2021, and is a control person of the firm.
Is David Sieben a financial advisor?
Yes. David Sieben has a current investment-adviser registration in Minnesota and Texas, through Sieben Wealth Planning since September 2021.
How many years of experience does David Sieben have?
David Sieben has 16 years in the financial industry, since December 2009, across 2 adviser firms.
What exams has David Sieben passed?
David Sieben has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in December 2009. FINRA credited David Sieben with the SIE, which began in October 2018.
Where is David Sieben based?
David Sieben’s registered office is in Edina, MN.
Is David Sieben registered with FINRA?
No. David Sieben has no current broker registration.
How can I verify David Sieben’s record?
Search CRD 5730105 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Sieben’s full registration record.