David J. Vermeulen
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 John Vermeulen was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, 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
September 9, 2015 - January 10, 2024
RWA WEALTH PARTNERS
April 20, 2012 - April 10, 2015
INNOVATION PARTNERS LLC
February 29, 2012 - April 10, 2015
INNOVATION PARTNERS LLC
June 6, 2011 - April 20, 2012
DOLAN CAPITAL GROUP, LLC
January 3, 2011 - May 25, 2011
GROVE POINT INVESTMENTS, LLC
May 21, 2010 - February 9, 2012
GROVE POINT INVESTMENTS, LLC
January 23, 2006 - August 7, 2006
RAFFERTY CAPITAL MARKETS, LLC
July 13, 2004 - November 5, 2004
FIDELITY BROKERAGE SERVICES LLC
December 11, 2000 - November 14, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 4, 1996 - October 10, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
July 1, 1994 - May 21, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 30, 1992 - July 19, 1993
MONY SECURITIES CORPORATION
November 25, 1983 - December 22, 1987
RETIREMENT INVESTMENT GROUP
Primary Firm SEC Registration
RWA WEALTH PARTNERS
CRD#: 156984 / SEC#: 801-73098
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
RWA WEALTH PARTNERS
CRD#: 156984 / SEC#: 801-73098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,490 |
| AUM (Assets Under Management) | $ 17,255,241,142 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 09/29/2023 | ||
| 12/09/2022 |
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.
