DA
David E. Achzet
QUINT CAPITAL
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 QUINT CAPITAL CORPORATION located in Norwalk, Connecticut.
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 19 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.
1. 05/2023 to Present - Harbor Lights Compliance Consulting LLC, Norwalk, CT, USA. Not investment related; Owner; provides outsourced CCO services and other compliance-related services to BDs and RIAs; total hours/month based on client activity; hours/month during securities trading hours varies. 2. 01/2024 to Present- Patten Training & Review LLC, 8111 Ashlane Way-Suite 207, The Woodlands, TX USA. Not investment related; Independent Contractor - outsourced CCO services and other compliance-related services to BDs and RIAs; total hours/month based on client activity; hours/monthly during securities trading hours varies. 3. 01/2024 to Present - Regulatory Compliance Solutions, 1120 6th Avenue, 4th Floor, New York, NY 10036 USA. Not investment related; Independent Contractor - outsourced CCO services and other compliance-related services to BDs and RIAs; total hours/month based on client activity; hours/month during securities trading hours varies. 4. 09/1986 to Present - Insurance Agent - licensed in CT for life insurance and variable annuity products. License is used only for non-investment purposes as a compliance services provider. No clients are involved and no business is solicited; total hours/month based on client activity; hours/month during securities trading hours varies. 5. Currently registered with: Quint Capital Corporation (CRD #26586) - Outsourced CCO/Independent Contractor; Mediobanca Securities USA LLC (CRD #143189) - Outsourced CCO/Independent Contractor.
CRS (Client Relationship Summary) - RIA
Click below to view David Edward Achzet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Edward Achzet's 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®
NoneExperience
Current
April 5, 2024 - Present
QUINT CAPITAL CORPORATION
RIA
BD
CRD#: 26586
Norwalk, CT
Current
April 6, 2024 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave - 361w, New York, NY 10169RIA
BD
CRD#: 26586
NEW YORK, NY
Current
February 10, 2025 - Present
MEDIOBANCA SECURITIES USA LLC
Office #1: 1450 Broadway 37th Floor, New York, NY 10018BD
CRD#: 143189
New York, NY
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
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".
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
IAR
Connecticut(4/5/2024)
RR
Connecticut(4/8/2024)
IAR
New York(4/5/2024)
RR
New York(4/22/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave - 361w, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-5090
Established
Florida since 05/28/1989
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
SEC notice filing (7 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 147,573,714 |
Disclosures
| Regulatory Event | 1 |
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.
