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DW

David E. Wenger

TERRANOVA CAPITAL EQUITIES,
New York, NY 10170
Some features on this profile are disabled
CRD#: 1645473
DW

Professional summary

David Edward Wenger, who also goes by Dave Wenger, is a registered financial professional currently at TERRANOVA CAPITAL EQUITIES, INC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 10 firms and has passed the Series 63, Series 82TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Wenger

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

Click below to view David Edward Wenger's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 25, 2014 - Present

TERRANOVA CAPITAL EQUITIES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170Office #2: 420 Lexington Avenue Suite 1402, New York, NY 10170
BD
CRD#: 45097
New York, NY
Past

January 8, 2010 - December 31, 2013

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
STAMFORD, CT
Past

November 15, 2004 - July 10, 2012

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

December 1, 2001 - February 17, 2004

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

August 4, 2000 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

April 26, 1993 - August 7, 2000

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

January 24, 1991 - April 5, 1993

LAIDLAW GLOBAL SECURITIES, INC.

BD
CRD#: 19018
NEW YORK, NY
Past

February 12, 1990 - January 23, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 1, 1989 - February 27, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 16, 1988 - June 16, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

September 22, 1987 - July 21, 1988

PROFESSIONAL BROKERAGE SERVICES INC.

BD
CRD#: 7998

State Registrations and Notice Filings

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

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
Connecticut
(9/25/2014)
RR
New York
(9/26/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 7/1/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/31/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TERRANOVA CAPITAL EQUITIES, INC
EUROPEAN AMERICAN EQUITIES, INC. | TN CAPITAL EQUITIES, LTD | TERRANOVA CAPITAL EQUITIES, INC. | TERRANOVA CAPITAL EQUITIES, INC | HORNBLOWER CAPITAL SECURITIES, INC. | GROWVEST CAPITAL SECURITIES, INC. | EUROPEAN AMERICAN EQUITIES, LTD.

CRD#: 45097 / SEC#: , 8-50973

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Phone number
(212) 381-7391
Established
Delaware since 03/18/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TERRANOVA CAPITAL PARTNERS, INC.SHAREHOLDER
CERNY, CRAIG JONATHANCHIEF EXECUTIVE OFFICER1538404
GELB, PETER RICHARDCOO/CFO2542816
GOODE, JACQUELINE MARIECCO1292607
MATTERA, RICHARD JOSEPHFINANCIAL OPERATIONS OFFICER2246513
STEINMETZ, JOHN FRANCISCHAIRMAN & PRESIDENT1132822

Disclosures

Regulatory Event4

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

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097New York, NY 10170

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