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DB

David W. Burk

Some features on this profile are disabled
CRD#: 1094676
DB

Professional summary

David Wayne Burk was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, David had worked at 9 firms, which includes ESSEX NATIONAL SECURITIES LLC, ONEAMERICA SECURITIES INC., AMERICAN UNITED LIFE INSURANCE COMPANY, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., FORTH FINANCIAL SECURITIES CORPORATION, VERAVEST INVESTMENTS INC., TRANSAMERICA FINANCIAL ADVISORS INC., METROPOLITAN LIFE INSURANCE COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 10, 1998 - July 1, 1998

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

February 26, 1993 - October 15, 1997

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

February 26, 1993 - October 15, 1997

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

June 7, 1990 - August 11, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

June 7, 1990 - August 11, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

January 22, 1988 - September 19, 1989

FORTH FINANCIAL SECURITIES, CORPORATION

BD
CRD#: 14363
RICHMOND, VA
Past

August 18, 1986 - February 10, 1988

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
Past

October 11, 1985 - September 18, 1986

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
Past

March 21, 1983 - October 17, 1983

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6
Date: 3/18/1983
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EN
ESSEX NATIONAL SECURITIES, LLC
ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750

BD
Terminated by SEC on 09/13/2016
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Contact information

Main Address
550 Gateway Drive Suite 210, Napa, CA 94558
Mailing Address
Phone number
Established
Delaware since 06/27/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ESSEX NATIONAL HOLDING COMPANY, LLCOWNER
AMARANTE, STEPHEN PAULCHAIRMAN OF BOARD OF DIRECTORS3165067
COONEY, JOHN MICHAELCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP1326757
CUMMINGS, WILLIAM FRANCISDIRECTOR4761165
DAVIS, SCOTT KELSOPRESIDENT, CEO, DIRECTOR1252573

Disclosures

Regulatory Event5

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.

Company Information

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

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