David S. Lin
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 S Lin, who also goes by David Shrehtza Lin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE 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
June 19, 2020 - November 23, 2022
SERAPHIM WEALTH ADVISORS, INC.
October 31, 2016 - March 10, 2020
ONEWEALTH INVESTMENT MANAGEMENT, LLC
November 23, 2015 - September 2, 2016
CETERA ADVISORS LLC
November 19, 2015 - September 2, 2016
CETERA ADVISORS LLC
August 20, 2012 - December 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2012 - December 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 1998 - July 31, 2007
CHASE INVESTMENT SERVICES CORP.
January 16, 1998 - July 31, 2007
CHASE INVESTMENT SERVICES CORP.
May 17, 1996 - December 23, 1997
FLEET BROKERAGE SECURITIES, INC.
November 8, 1994 - August 8, 1995
JANNEY MONTGOMERY SCOTT LLC
November 13, 1993 - October 28, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 8, 1991 - November 24, 1993
LEHMAN BROTHERS INC.
February 1, 1991 - March 14, 1991
GKN SECURITIES CORP.
November 9, 1990 - February 21, 1991
JOSEPHTHAL & CO., INC.
September 28, 1990 - November 19, 1990
SOUTH RICHMOND SECURITIES, INC.
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
SERAPHIM WEALTH ADVISORS, INC.
CRD#: 309457 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 268 |
| AUM (Assets Under Management) | $ 49,515,377 |
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.
