David C. Novak
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 Christopher Novak, who also goes by David C Novak, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2004 - June 15, 2023
FISHER INVESTMENTS
October 23, 2000 - February 5, 2003
UBS FINANCIAL SERVICES INC.
September 22, 2000 - February 5, 2003
UBS FINANCIAL SERVICES INC.
June 29, 1995 - October 19, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 1987 - November 13, 1987
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
