David C. Gornbein
STRATEGIC ADVISERS LLC | Vice President, Financial Consultant
WESTPORT, CT
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CRD#: 1454063
Professional summary
David C Gornbein, who also goes by David Charles Gornbein, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Westport, Connecticut and FIDELITY BROKERAGE SERVICES LLC located in Fairfield, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 52 exams.
Biography
I work very closely with some of Fidelity's best clients with the goal of helping them build a proper and customized financial plan.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Charles Gornbein
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.
CRS (Client Relationship Summary) - RIA
Click below to view David C Gornbein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneEducation
Arizona State University
BA Finance - Finance
1985
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 1261 Post Road, Fairfield, CT 06824-6072RIA
CRD#: 104555
WESTPORT, CT
Current
September 4, 2012 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1261 Post Road, Fairfield, CT 06824BD
CRD#: 7784
Fairfield, CT
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
FAIRFIELD, CT
Past
October 2, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
FAIRFIELD, CT
Past
June 3, 2009 - April 13, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
January 9, 2009 - March 30, 2009
FEP INVESTMENTS LLC
BD
CRD#: 147152
BOSTON, MA
Past
February 26, 1999 - April 18, 2000
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
August 1, 1989 - May 4, 1999
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
Past
April 5, 1988 - August 1, 1989
MESIROW CAPITAL, INC.
BD
CRD#: 21829
Past
December 9, 1986 - May 4, 1999
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
CHICAGO, IL
Past
March 4, 1986 - December 12, 1986
METRO EQUITIES CORPORATION
BD
CRD#: 10655
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/4/2025)
RR
Arizona(1/3/2020)
RR
Arkansas(10/8/2021)
RR
California(12/11/2013)
RR
Colorado(12/11/2013)
RR
Connecticut(9/4/2012)
IAR
Connecticut(3/31/2025)
RR
Delaware(12/11/2013)
RR
District of Columbia(10/8/2021)
RR
Florida(1/3/2013)
RR
Georgia(3/25/2023)
RR
Illinois(12/11/2013)
RR
Maryland(1/5/2018)
RR
Massachusetts(12/11/2013)
RR
Michigan(6/4/2021)
RR
Minnesota(9/29/2023)
RR
Missouri(2/12/2021)
RR
Montana(8/21/2018)
RR
Nebraska(1/3/2020)
RR
Nevada(12/11/2013)
RR
New Hampshire(1/3/2013)
RR
New Jersey(1/3/2013)
RR
New Mexico(1/5/2018)
RR
New York(1/3/2013)
RR
North Carolina(1/7/2018)
RR
Ohio(3/15/2021)
RR
Pennsylvania(1/3/2013)
RR
Rhode Island(1/3/2013)
RR
South Carolina(1/5/2018)
RR
Texas(1/5/2018)
IAR
Texas(3/31/2025)
RR
Virginia(1/5/2018)
RR
Washington(12/11/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/5/2009
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Vice President, Financial ConsultantCRD#: 104555Westport, CTTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
