David L. Fadel

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CRD#: 1253770

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 Le Fadel, CFP®, who also goes by David L Fadel, David Lee Fadel, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1984. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David L Fadel | David Lee Fadel

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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Past

July 29, 2019 - October 29, 2024

WEST BRANCH CAPITAL LLC

RIA

CRD#: 133813

Williamsville, NY

Past

September 19, 2012 - December 16, 2019

SUMMIT FINANCIAL STRATEGIES, INC

RIA

CRD#: 107818

AMHERST, NY

Past

June 7, 2002 - July 5, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

AMHERST, NY

Past

September 8, 1998 - June 7, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

May 9, 1989 - February 5, 1991

ESSEX CAPITAL MARKETS, INC.

CRD#: 11896

ROCHESTER, NY

Past

January 29, 1987 - January 5, 1999

SUMMIT FINANCIAL SECURITIES, INC.

CRD#: 16359

AMHERST, NY

Past

September 7, 1984 - February 6, 1987

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

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".

WEST BRANCH CAPITAL LLC

DAVIS FINANCIAL SERVICES, LLC, A DIVISION OF WEST BRANCH CAPITAL, LLC | WEST BRANCH CAPITAL LLC | SINGER POTITO ASSOCIATES, A DIVISION OF WEST BRANCH CAPITAL LLC | LEGACY FINANCIAL SERVICES (LEGACY), DIVISION OF WEST BRANCH CAPITAL LLC

CRD#: 133813 / SEC#: 801-78332

RIA

Registered Investment Advisory firm - (7/24/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (8/23/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/18/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/1994

General Securities Principal Examination

Current Firm

WEST BRANCH CAPITAL LLC

CRD#: 133813 / SEC#: 801-78332

RIA

Registered Investment Advisory firm - (7/24/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (8/23/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/18/2013 Terminated)

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Contact information

Main Address

9 Research Drive Suite 1, Amherst, MA 01002

Mailing Address

P.o. Box 2067, Amherst, MA 01004

Phone number

833-888-0534; 413-256-1225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEST BRANCH BROCHURE (FORM ADV2A) (2/13/2025)

Regulatory assets under management

Total Number of Accounts	1,217
AUM (Assets Under Management)	$ 630,872,497

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David L. Fadel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMMIT FINANCIAL STRATEGIES, INC

CAMBRIDGE INVESTMENT RESEARCH, INC.

FSC SECURITIES CORPORATION

ESSEX CAPITAL MARKETS, INC.

SUMMIT FINANCIAL SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

WEST BRANCH CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/1999

Series 63

Date: 8/23/1984

SIE

Date: 7/5/2017

Series 7

Date: 7/21/1984

Series 24

Date: 7/28/1994

Current Firm

WEST BRANCH CAPITAL LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEST BRANCH CAPITAL LLC

TRUST BUT VERIFY

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