David P. Vanzile
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 Philip Vanzile, who also goes by David Vanzile, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2013 - June 20, 2016
SEATTLE ASSET MANAGEMENT, INC.
January 14, 2008 - February 10, 2011
OPPENHEIMER & CO. INC.
June 16, 1988 - January 14, 2008
CIBC WORLD MARKETS CORP.
January 25, 1984 - September 17, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 15
Date: 6/7/1984
Foreign Currency Options ExaminationSeries 5
Date: 2/2/1984
Interest Rate Options ExaminationCurrent Firm
SEATTLE ASSET MANAGEMENT, INC.
CRD#: 117523 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 23,123,293 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
