David Rick Anderson

Investment Adviser Representative at ONEASCENT FINANCIAL SERVICES LLC

Bozeman, MTCRD #1568913Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

40 yrs

States Registered

3 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 3 states

MinnesotaMontanaTexas

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 10/5/1999

Series 63

Uniform Securities Agent State Law Examination

Passed 10/3/1986

Series 9

General Securities Sales Supervisor - Options Module Examination

Passed 5/11/2015

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 31

Futures Managed Funds Examination

Passed 4/10/2003

Series 7

General Securities Representative Examination

Passed 10/18/1986

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

ONEASCENT FINANCIAL SERVICES LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLC

9/9/2002 – 8/22/2024Bozeman, MT

JOHN G. KINNARD AND COMPANY, INCORPORATED

6/26/1997 – 12/18/2000MINNEAPOLIS, MN

RBC DAIN RAUSCHER INC.

12/15/2000 – 9/7/2002NEW YORK, NY

PIPER JAFFRAY INC.

11/25/1988 – 7/10/1997MINNEAPOLIS, MN

AMERICAN EXPRESS FINANCIAL ADVISORS INC.

10/22/1986 – 12/5/1988

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Rick Anderson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.