David M. Orfalea
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 Michael Orfalea was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2019 - December 31, 2022
DAVINCI CAPITAL MANAGEMENT, INC.
November 1, 2010 - September 17, 2018
THE O.N. EQUITY SALES COMPANY
October 10, 2001 - November 2, 2010
MWA FINANCIAL SERVICES INC.
November 21, 2000 - June 6, 2001
METROPOLITAN LIFE INSURANCE COMPANY
November 21, 2000 - June 6, 2001
MSI FINANCIAL SERVICES, INC.
January 27, 1983 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 21, 1982 - September 21, 2000
PRUCO SECURITIES, LLC.
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
DAVINCI CAPITAL MANAGEMENT, INC.
CRD#: 46897 / SEC#: 801-56514, 8-51580
Contact information
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 85 |
| AUM (Assets Under Management) | $ 40,216,551 |
Disclosures
| Regulatory Event | 2 |
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.
