David L. Adler

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CRD#: 1592

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 Lawrence Adler was a registered financial advisor .

David is a previously registered financial advisor and started their career in finance in 1970. David had worked at 9 firms and has passed the Series 65, Series 63, Series 5, PC, Series 000 and Series 1 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.

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

May 7, 2009 - October 15, 2009

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

AURORA, IL

Past

March 16, 2004 - October 15, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

AURORA, IL

Past

March 17, 1987 - June 26, 2002

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

November 21, 1984 - February 21, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

October 24, 1980 - September 28, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

November 22, 1977 - November 24, 1980

LEHMAN BROTHERS INC.

CRD#: 7506

Past

November 17, 1976 - November 22, 1977

SHEARSON HAYDEN STONE INC.

CRD#: 7295

Past

November 8, 1974 - November 17, 1976

SHEARSON HAYDEN STONE INC.

CRD#: 6774

Past

March 16, 1973 - November 8, 1974

HAYDEN STONE INC.

CRD#: 6567

Past

September 11, 1970 - March 16, 1973

HAYDEN STONE INC.

CRD#: 972

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

IAR

Series 65

Date: 5/6/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/22/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 7/5/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 3/3/1967

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 3/3/1967

Registered Representative Examination

Current Firm

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

Terminated by SEC on 06/11/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/15/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUNNALLEN HOLDINGS, INC.	SHAREHOLDER
DANIELS, KEVIN CHRISTIAN	EVP OF TRADING, CHIEF COMPLIANCE OFFICER	2041956
KRAUS, FREDERICK OSCAR JR	PRESIDENT, CFO, FINOP	1393886

Disclosures

Regulatory Event	17
Arbitration	13

Red Flags

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