David B. Greenberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Brian Greenberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2017 - April 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 2017 - April 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2016 - December 16, 2016
NORTHEAST SECURITIES, LLC
March 17, 2014 - February 19, 2015
W.A. CAPITAL MARKETS
March 17, 2014 - February 19, 2015
CITATION FINANCIAL GROUP, L.P.
June 24, 2013 - March 19, 2014
BNP PARIBAS SECURITIES CORP.
September 15, 2008 - June 19, 2013
CITATION FINANCIAL GROUP, L.P.
May 9, 1991 - February 22, 2007
J.P. MORGAN SECURITIES LLC
February 28, 1991 - April 12, 1991
FUNDAMENTAL BROKERS
March 5, 1990 - May 7, 1991
GMST WORLD MARKETS, INC.
February 16, 1990 - August 2, 1990
FUNDAMENTAL BROKERS INTERNATIONAL INC.
May 9, 1989 - July 31, 1990
W.J. NOLAN & COMPANY, INC.
September 15, 1987 - February 28, 1991
FUNDAMENTAL BROKERS
May 14, 1984 - August 31, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 1982 - March 23, 1984
DAVID LERNER ASSOCIATES, INC.
October 30, 1981 - January 20, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
