David John Gompert
Professional Summary
David John Gompert, who also goes by David Gompert, is a registered financial advisor currently at AVANT-GARDE TRADING SECURITIES located in Chicago, Illinois. David is registered as a RR (Registered Representative) and started their career in finance in 1989. David has worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 30, Series 10, Series 9, Series 4, Series 24 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Gompert
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
AVANT-GARDE TRADING SECURITIES | PROSPERUM SECURITIES LLC DBA AVANT-GARDE TRADING SECURITIES | PROSPERUM FINTECH HOLDINGS, LLC
Contact Information
Main Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606Mailing Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606Phone Number
(312) 858-5748Established
Illinois since 11/23/2016Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(5/10/2024)
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(5/13/2024)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2005Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1997SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David John Gompert's CRS (Customer Relationship Summary).
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