David Stephen Ulm

Dai Wealth, LLC

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Current Employers

Dai Wealth, Llc

2800 Century Parkway Ne Suite 650, Atlanta, GA 30345 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2025-01-27

MN RA
APPROVED

Since 2025-01-27

Branch Locations

1907 Wayzata Blvd Suite 230, Wayzata, MN 55391 • United States

2800 Century Parkway Ne Suite 650, Atlanta, GA 30345 • United States

150 St Andrews Ct Suite 210, Mankato, MN 56001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Frontier Asset Management	Sheridan	WY	07/2016	01/2025
Dai Wealth Llc	Atlanta	GA	01/2025	Present
Dai Securities Llc	Atlanta	GA	01/2025	Present

07/2016 → 01/2025

Frontier Asset Management

Sheridan, WY
01/2025 → Present

Dai Wealth Llc

Atlanta, GA
01/2025 → Present

Dai Securities Llc

Atlanta, GA

Previous Registrations

2018-03-01 → 2025-03-04

Frontier Asset Management, Llc

Sheridan, WY
2015-02-10 → 2016-07-26

Cedar Capital, Llc

Glen Ellyn, IL
2014-03-17 → 2015-01-02

Good Harbor Financial

Barrington, IL
2013-02-20 → 2014-01-03

Invesco Advisers, Inc.

Atlanta, GA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2025-05-30
S65	Uniform Investment Adviser Law Examination	2013-02-19

S63 Uniform Securities Agent State Law Examination

2025-05-30
S65 Uniform Investment Adviser Law Examination

2013-02-19

View on SEC IAPD

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