David A. Joffe
Professional summary
David Alan Joffe is a registered financial professional currently at LONG ISLAND FINANCIAL GROUP, INC. located in Roslyn, New York and PRINCIPAL SECURITIES, INC. located in Laguna Niguel, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Alan Joffe's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2011 - Present
LONG ISLAND FINANCIAL GROUP, INC.
Office #1: 2 Woodcrest Drive, Roslyn, NY 11576October 30, 2025 - Present
PRINCIPAL SECURITIES, INC.
April 7, 2011 - May 10, 2011
NEXT FINANCIAL GROUP, INC.
October 31, 2008 - May 10, 2011
NEXT FINANCIAL GROUP, INC.
June 24, 2005 - December 17, 2008
LONG ISLAND FINANCIAL GROUP, INC.
January 7, 2004 - June 27, 2005
EQUITABLE ADVISORS, LLC
October 30, 2002 - January 20, 2004
QUESTAR CAPITAL CORPORATION
December 17, 2001 - November 5, 2002
SUNAMERICA SECURITIES, INC.
May 4, 1999 - December 14, 2001
LONG ISLAND FINANCIAL GROUP, INC.
January 20, 1999 - May 25, 1999
SIGNATOR INVESTORS, INC.
May 12, 1998 - May 26, 1998
IDS LIFE INSURANCE COMPANY
May 12, 1998 - May 26, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 1997 - September 21, 1998
BNY MELLON SECURITIES CORPORATION
July 10, 1997 - October 3, 1997
DIME SECURITIES, INC.
September 19, 1996 - July 9, 1997
REPUBLIC FINANCIAL SERVICES CORPORATION
May 17, 1995 - August 7, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1995 - May 19, 1995
PRUCO SECURITIES, LLC.
November 2, 1993 - February 8, 1995
LONG ISLAND FINANCIAL GROUP, INC.
August 28, 1992 - October 29, 1992
FLEET ENTERPRISES, INC.
June 25, 1992 - July 13, 1992
USLIFE EQUITY SALES CORP.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/25/2021)
(10/30/2025)
(10/30/2025)
Exams
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
