AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DK

David P. Kleiman

Some features on this profile are disabled
CRD#: 1531804
DK

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 Paul Kleiman was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1995. David had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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®
None

Experience

Past

March 7, 2014 - May 12, 2015

OLIVETREE FINANCIAL, LLC

BD
CRD#: 154026
NEW YORK, NY
Past

June 28, 2011 - June 14, 2013

KBC SECURITIES USA LLC

BD
CRD#: 46709
NEW YORK, NY
Past

September 9, 2010 - February 1, 2011

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

May 13, 2010 - September 13, 2010

GRACE FINANCIAL GROUP LLC

BD
CRD#: 104133
SOUTHHAMPTON, NY
Past

September 22, 2009 - April 19, 2010

F G MARKETS, INC.

BD
CRD#: 104274
NEW YORK, NY
Past

June 27, 2006 - August 8, 2008

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

June 9, 2005 - August 29, 2005

PARETO SECURITIES INC.

BD
CRD#: 44734
NEW YORK, NY
Past

April 19, 2004 - November 16, 2004

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

April 22, 2003 - October 20, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 8, 2001 - April 8, 2003

CARNEGIE, INC.

BD
CRD#: 31184
NEW YORK, NY
Past

June 14, 1999 - March 28, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 4, 1998 - June 14, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

June 24, 1996 - April 23, 1998

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

August 18, 1995 - November 15, 1995

VAN ECK SECURITIES CORPORATION

BD
CRD#: 2269
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1995
General Securities Representative Examination

Current Firm

OF
OLIVETREE FINANCIAL, LLC
OLIVETREE FINANCIAL, LLC | OLIVETREE USA, LLC

CRD#: 154026 / SEC#: , 8-68603

BD
Terminated by SEC on 02/21/2022
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OLIVETREE GROUP LIMITEDSHAREHOLDER/ MEMBER
KUTNER, DARYN MICHAELCEO & CCO5279440
KUTNER, DARYN MICHAELEXECUTIVE CHAIRMAN AND FOUNDER5279440

Disclosures

Regulatory Event1

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

OLIVETREE FINANCIAL, LLC

CRD#: 154026

TRUST BUT VERIFY

Monitor David Kleiman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics