David Cauble, CFP®

Current

Principal at Transitions Wealth Management, LLC

Past

Vice President at Morgan Keegan
Investment VP at J.C. Bradford & Co.
Account Executive at EF Hutton

Account Executive at J. C. Bradford & Company

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Education

Western Carolina University
Pisgah High School

Recommended

1 person has recommended David

Connections

500+ connections

Industry

Financial Services

Websites

My Company

David Cauble, CFP®’s Summary

• Over 25 years financial markets and industry experience.
• Former board chairman, president, and treasurer of Financial Planning Association of Charlotte (400+ member peer professional organization)
• Past president and treasurer of Charlotte North Rotary
• Former financial planning coordinator - EF Hutton - Charlotte offices
• CFP® licensee since 1985

Other community activities have included serving on UNC Charlotte's Certified Financial Planner® certificate program advisory board, volunteering as a seminar leader for Charlotte Saves, serving as unit commissioner for the Boy Scouts of America, and serving on the board of the Johnston Memorial YMCA.

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Goals:

Am looking to grow my advisory and fee-based business among those looking for financial planning and guidance. My established practice allows me to be somewhat selective.

Ideal prospects include those who are

• dissatisfied with current investment strategy
• open to a financial analysis of their portfolio
• willing to delegate some investment responsibilities
• looking for a long-term relationship
• facing decisions regarding 401-k’s at previous employer, retirement, or other life-changing events

David Cauble, CFP®’s Experience

Principal

Transitions Wealth Management, LLC

(Financial Services industry)

October 2009 — Present (3 months)
Vice President

Morgan Keegan

(Public Company; RF; Financial Services industry)

May 2000 — October 2009 (9 years 6 months)

Design and manage customized investment portfolios. Strategic consulting within financial planning process. Advisory and fee-based applications. Certified Financial Planner.
Investment VP

J.C. Bradford & Co.

(Financial Services industry)

December 1987 — May 2000 (12 years 6 months)
Account Executive

EF Hutton

(Financial Services industry)

June 1985 — December 1987 (2 years 7 months)
Account Executive

J. C. Bradford & Company

(Financial Services industry)

November 1981 — June 1985 (3 years 8 months)