David Roy Vieths
Professional Summary
David Roy Vieths was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1985 - 2003. David had worked at 4 firms and has passed the Series 63, Series 65, Series 55, Series 7, Series 15, Series 5, Series 3 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
NAVILLUS SECURITIES, INC.
Contact Information
Established
Pennsylvania since 10/15/1992Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SULLIVAN, WILLIAM JOSEPH | CHAIRMAN/CEO/CFO/DIRECTOR | 2312200 |
| NEXTRADE HOLDINGS | SHAREHOLDER | — |
| BOURDOW, ANTHONY WILLIAM | FINANCIAL/OPERATIONS PRINCIPAL | 1322617 |
| COX, DEWITT CLINTON III | SHAREHOLDER | 3040461 |
| SHERIDAN, JOSEPH BARTON SR | SECRETARY/VICE PRESIDENT/DIRECTOR | 2352613 |
| STEFF, TIMOTHY MARTIN | VICE PRESIDENT | 2349086 |
| SULLIVAN, DANIEL FRANCIS | PRESIDENT/DIRECTOR | 2312207 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 2001Series 15 — Foreign Currency Options Examination
Passed Jun 1987Series 5 — Interest Rate Options Examination
Passed May 1987Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1985About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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