David A. Zimmerman
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 Alan Zimmerman, who also goes by Dave Zimmerman, 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 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2010 - March 2, 2020
CERITY PARTNERS OCIO LLC
March 28, 2006 - October 20, 2011
NATIONAL PLANNING CORPORATION
February 28, 2006 - October 20, 2011
NATIONAL PLANNING CORPORATION
December 1, 2005 - March 2, 2006
WOODBURY FINANCIAL SERVICES, INC.
September 12, 1999 - August 31, 2005
NEW ENGLAND SECURITIES
February 16, 1998 - August 31, 2005
NEW ENGLAND SECURITIES
June 26, 1987 - February 2, 1998
EQUITY SERVICES, INC.
October 19, 1982 - July 14, 1987
MML INVESTORS SERVICES, LLC
June 25, 1982 - July 15, 1987
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
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
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 17,346,720,716 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/09/2025 | ||
| 05/04/2023 | ||
| 01/26/2023 |
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.
