David M. Zummo
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 Michael Zummo, who also goes by Dave Zummo, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 17 firms and has passed the Series 66, Series 63 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
October 3, 2011 - May 2, 2012
CETERA WEALTH SERVICES, LLC
October 3, 2011 - May 2, 2012
CETERA WEALTH SERVICES, LLC
March 14, 2008 - October 21, 2011
HORNOR, TOWNSEND & KENT, LLC
March 14, 2008 - October 21, 2011
HORNOR, TOWNSEND & KENT, LLC
August 3, 2006 - March 17, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 2, 2006 - March 17, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2004 - October 7, 2005
IFMG SECURITIES, INC.
August 30, 2004 - October 7, 2005
IFMG SECURITIES, INC.
June 2, 2003 - August 27, 2004
BNY MELLON SECURITIES LLC
November 21, 2001 - May 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 24, 1998 - August 7, 2001
LEGG MASON WOOD WALKER, INCORPORATED
September 11, 1996 - December 31, 1997
WMA SECURITIES, INC.
September 15, 1994 - September 18, 1996
HORNOR, TOWNSEND & KENT, LLC
April 11, 1994 - September 24, 1994
VOYA FINANCIAL ADVISORS, INC.
January 2, 1992 - April 8, 1994
JANNEY MONTGOMERY SCOTT LLC
April 24, 1991 - January 2, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1990 - December 31, 1990
LINCOLN INVESTMENT
December 9, 1987 - May 18, 1988
AMERICAN CAPITAL EQUITIES, INC.
October 29, 1986 - November 19, 1987
PRUCO SECURITIES, LLC.
May 15, 1986 - October 7, 1986
NYLIFE SECURITIES LLC
August 6, 1985 - January 16, 1986
BOENNING & SCATTERGOOD, INC.
December 18, 1984 - August 14, 1985
"SHAREAMERICA"
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
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
