David J. Iannini

WILLIAM AND HENRY ASSOCIATES

Los Angeles, CA 90067

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CRD#: 1579957

Professional summary

David Joel Iannini is a registered financial professional currently at WILLIAM AND HENRY ASSOCIATES located in Los Angeles, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1986. David has worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

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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

Current

June 13, 2012 - Present

WILLIAM AND HENRY ASSOCIATES

Office #1: 1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067

CRD#: 154566

Los Angeles, CA

Past

June 29, 2010 - July 17, 2012

INNOVATION CAPITAL, LLC

CRD#: 133551

LOS ANGELES, CA

Past

April 9, 2009 - July 2, 2010

GREIF & CO.

CRD#: 30345

LOS ANGELES, CA

Past

March 14, 2007 - November 3, 2008

WELLS FARGO SECURITIES, LLC

CRD#: 7665

LOS ANGELES, CA

Past

July 13, 1998 - July 20, 1999

L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC

CRD#: 14152

IRVINE, CA

Past

December 20, 1996 - May 27, 1998

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

CRD#: 41461

CHICAGO, IL

Past

February 28, 1994 - October 22, 1996

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

November 18, 1986 - February 25, 1994

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/20/2012)

Exams

State Security Law Exam

Series 63

Date: 4/17/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 3/30/2011

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WILLIAM AND HENRY ASSOCIATES

MAR & ASSOCIATES, INC | WILLIAM AND HENRY ASSOCIATES

CRD#: 154566 / SEC#: , 8-68649

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067

Mailing Address

1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067

Phone number

(310) 461-1355

Established

Arizona since 02/15/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DAVID J. IANNINI FAMILY TRUST	SOLE SHAREHOLDER
DAWSON, JAMES MATTHEW	PRINCIPAL	3252786
IANNINI, DAVID JOEL	PRESIDENT / CCO / AML-CO	1579957
IANNINI, DAVID JOEL	TRUSTEE	1579957
IANNINI, DAVID JOEL	FINOP	1579957

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David J. Iannini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Joel Iannini's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION CAPITAL, LLC

GREIF & CO.

WELLS FARGO SECURITIES, LLC

L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

SCHRODER & CO. INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2007

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/13/2007

Series 14

Date: 1/2/2023

Series 28

Date: 3/30/2011

Series 24

Date: 6/27/2007

FINRA

Current Firm

WILLIAM AND HENRY ASSOCIATES

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WILLIAM AND HENRY ASSOCIATES

TRUST BUT VERIFY

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