David J. Switala

BRIGHTON SECURITIES

Falconer, NY 14733

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CRD#: 1040995

Professional summary

David James Switala is a registered financial professional currently at BRIGHTON SECURITIES CORP. located in Falconer, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1982. David has worked at 8 firms and has passed the Series 63, SIE, Series 22, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David James Switala's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 19, 2018 - Present

BRIGHTON SECURITIES CORP.

Office #1: 324 West Main Street, Falconer, NY 14733

RIA

CRD#: 3875

Falconer, NY

Past

June 6, 1998 - December 19, 2018

TRG FINANCIAL, INC.

CRD#: 43870

Falconer, NY

Past

October 1, 1997 - June 2, 1998

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

January 3, 1992 - October 1, 1997

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

February 25, 1991 - December 31, 1991

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

June 10, 1986 - February 28, 1991

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 22, 1986 - February 28, 1991

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

May 18, 1982 - May 1, 1986

VP DISTRIBUTORS LLC

CRD#: 3036

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BRIGHTON SECURITIES CORP.

BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.

CRD#: 3875 / SEC#: 801-62276, 8-14599

RIA

Registered Investment Advisory firm - SEC (9/8/2003 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/13/2021)

Florida
(6/27/2019)

New York
(12/19/2018)

North Carolina
(5/21/2019)

Pennsylvania
(1/24/2019)

South Carolina
(4/22/2019)

Virginia
(5/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 4/1/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/14/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/30/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

BRIGHTON SECURITIES CORP.

BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.

CRD#: 3875 / SEC#: 801-62276, 8-14599

RIA

Registered Investment Advisory firm - SEC (9/8/2003 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1703 Monroe Avenue, Rochester, NY 14618

Mailing Address

1703 Monroe Avenue, Rochester, NY 14618-1487

Phone number

(585) 473-3590

Established

New York since 03/05/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (21 States and Territories)

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BSC ADV PART II - OCTOBER 2025 (10/1/2025)

Direct owners and executive officers

Name	Position	CRD#
BRIGHTON SECURITIES HOLDINGS INC	OWNER
ALBERTS, LORI ANN	CCO
ALBERTS, LORI ANN	CEO	2574827
CONBOY, GEORGE THOMAS	CHAIRMAN	1283395
LEACH, JENNY LEE	DIRECTOR OF COMPLIANCE	3257861
MELONI, EKATERINA A	FINOP	7923218

Regulatory assets under management

Total Number of Accounts	3,384
AUM (Assets Under Management)	$ 986,154,864

Disclosures

Regulatory Event	7
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/02/2025	Cover Page	Report
03/01/2024	Cover Page	Report
03/20/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David J. Switala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David James Switala's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRG FINANCIAL, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

USLIFE EQUITY SALES CORP.

CADARET, GRANT & CO., INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

BRIGHTON SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/1983

SIE

Date: 10/1/2018

Series 22

Date: 4/1/1985

Series 6

Date: 5/14/1982

Series 26

Date: 10/30/2000

FINRA

Current Firm

BRIGHTON SECURITIES CORP.

Contact information

SEC notice filing (21 States and Territories)

FINRA licenses (36 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

BRIGHTON SECURITIES CORP.

TRUST BUT VERIFY

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