David L. Sonnenberg
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 Leo Sonnenberg, who also goes by Sonny Sonnenberg, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 10 firms and has passed the Series 63, SIE 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
January 6, 2011 - December 31, 2015
MADISON AVENUE SECURITIES, LLC
January 5, 2011 - December 31, 2015
MADISON AVENUE SECURITIES, LLC
January 6, 2005 - January 6, 2011
FIRST MIDWEST SECURITIES, INC.
January 6, 2005 - January 6, 2011
FIRST MIDWEST SECURITIES, INC.
August 18, 2003 - January 7, 2005
FSC SECURITIES CORPORATION
November 25, 2002 - January 7, 2005
FSC SECURITIES CORPORATION
March 30, 2001 - November 22, 2002
CETERA ADVISORS LLC
December 8, 1998 - November 22, 2002
CETERA ADVISORS LLC
March 13, 1997 - December 2, 1998
OSAIC WEALTH, INC.
October 17, 1994 - June 19, 1998
KEOGLER, MORGAN & COMPANY, INC.
January 25, 1993 - June 24, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 28, 1991 - April 3, 1992
GUARDIAN INVESTOR SERVICES LLC
November 5, 1986 - May 22, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1985 - November 4, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
