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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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DA

David E. Achzet

VEST FINANCIAL LLC
NORWALK, CT
Some features on this profile are disabled
CRD#: 1209132
DA

Professional summary

David Edward Achzet, who also goes by Dave Achzet, is a registered financial advisor currently at VEST FINANCIAL LLC located in Norwalk, Connecticut and MEDIOBANCA SECURITIES USA LLC located in New York, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 21 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Achzet

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) - RIA

Click below to view David Edward Achzet'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

February 20, 2026 - Present

VEST FINANCIAL LLC

RIA
CRD#: 165976
NORWALK, CT
Current

February 10, 2025 - Present

MEDIOBANCA SECURITIES USA LLC

Office #1: 1450 Broadway 37th Floor, New York, NY 10018
BD
CRD#: 143189
New York, NY
Current

February 22, 2026 - Present

VEST SECURITIES, LLC

Office #1: 8350 Broad Street Suite 240, Mclean, VA 22101
BD
CRD#: 317379
Mclean, VA
Past

January 5, 2025 - January 31, 2025

CHAINCE SECURITIES, LLC

BD
CRD#: 10590
NEW YORK, NY
Past

May 24, 2024 - April 22, 2025

PIERCE WEALTH PARTNERS, INC.

RIA
CRD#: 315147
Norwalk, CT
Past

May 16, 2024 - April 22, 2025

BLEY INVESTMENT GROUP, INC.

BD
CRD#: 26678
FORT WORTH, TX
Past

April 6, 2024 - December 31, 2025

QUINT CAPITAL CORPORATION

BD
CRD#: 26586
NEW YORK, NY
Past

April 5, 2024 - December 31, 2025

QUINT CAPITAL CORPORATION

RIA
CRD#: 26586
Norwalk, CT
Past

March 1, 2024 - April 3, 2024

ALTERNATIVE EXECUTION GROUP

BD
CRD#: 167830
BAYONNE, NJ
Past

March 31, 2023 - May 4, 2023

DOMINARI SECURITIES LLC

RIA
CRD#: 18975
New York, NY
Past

March 31, 2023 - May 4, 2023

DOMINARI SECURITIES LLC

BD
CRD#: 18975
New York, NY
Past

August 6, 2019 - August 17, 2022

DOMINARI SECURITIES LLC

RIA
CRD#: 18975
GREENWICH, CT
Past

August 6, 2019 - August 17, 2022

DOMINARI SECURITIES LLC

BD
CRD#: 18975
GREENWICH, CT
Past

August 11, 2015 - July 23, 2019

VISION INVESTMENT ADVISORS, LLC

RIA
CRD#: 109621
STAMFORD, CT
Past

August 11, 2015 - July 23, 2019

VISION FINANCIAL MARKETS LLC

BD
CRD#: 142271
Stamford, CT
Past

August 11, 2015 - July 23, 2019

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
Stamford, CT
Past

April 29, 2011 - July 27, 2015

SOURCE CAPITAL GROUP, INC.

RIA
CRD#: 36719
WESTPORT, CT
Past

March 29, 2011 - July 27, 2015

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

June 4, 2008 - March 4, 2009

THE RIDERWOOD GROUP INCORPORATED

BD
CRD#: 16681
TOWSON, MD
Past

February 29, 2000 - June 1, 2006

SIGNATOR FINANCIAL SERVICES, INC.

RIA
CRD#: 19061
NORWALK, CT
Past

October 29, 1999 - June 1, 2006

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
NORWALK, CT
Past

November 4, 1996 - December 31, 1997

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

May 16, 1994 - April 16, 1996

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

January 27, 1994 - April 14, 1994

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

February 28, 1991 - December 23, 1993

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

June 17, 1987 - January 25, 1991

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

November 25, 1983 - June 23, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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".
VF
VEST FINANCIAL LLC
CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA
Registered Investment Advisory firm - (1/3/2013 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(2/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/21/2011
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/6/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/9/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/19/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/20/2011
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/27/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VF
VEST FINANCIAL LLC
CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA
Registered Investment Advisory firm - (1/3/2013 Approved)
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Contact information

Main Address
8350 Broad St Suite 240, Mclean, VA 22102-5150
Mailing Address
Phone number
(855) 979-6060
Established
Firm type
Fiscal year end
# of Employees
43

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/5/2025)

Regulatory assets under management

Total Number of Accounts145
AUM (Assets Under Management)$ 39,304,330,239

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

VEST FINANCIAL LLC

CRD#: 165976Norwalk, CT

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