David T. Buckwald
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 1883251
Professional summary
David T Buckwald, CFP®, who also goes by David Nathan Tyrrell Buckwald, David Buckwald, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Red Bank, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Nathan Tyrrell Buckwald | David Buckwald
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.
1) BuckJoe, LLC; 16 Linden Place Colts Neck, NJ 07722; 02/17/2012; Owner; Real Estate and Cash Holdings; Not Investment Related; 2 hours/month; 0 hours/month during business hours; Ownership, Passive income. 2) OneTeam Financial, LLC; 331 Newman Springs Road Bldg. 1, Suite 107 Red Bank, NJ 07701; 07/01/2019; Owner/CEO/Principal/Producer; Financial planning, sales of insurance and investment products; Investment Related; 240 hours/month; 240 hours/month during business hours; Ownership, Commissions, Wages/Salary/Tips. 3) Madison Brokerage; 65 Madison Ave, Morristown, NJ 07962; 10/23/2015; Sales; Sales of non-M life insurance and annuity products; Investment Related; 10 hours/month; 10 hours/month during business hours; Commissions. 4) NJ DI & LTC Brokers; 1 Bethany Road, Hazlet, NJ 07730; 10/23/2015; Sales; Sales of long term care policies; Investment Related; 1 hour/month; 1 hour/month during business hours; Commissions. 5) Clarity 2 Prosperity; 30400 Detroit Road Suite 201, Westlake, OH 44145; 10/23/2015; Sales; Sales of life insurance and annuities; Investment Related; 3 hours/month; 3 hours/month during business hours; Commissions. 6) Hackensack Meridian Foundation; 1340 Campus Parkway, Wall, NJ 07753; 04/08/2019; Volunteer; Help with annual golf outing, answer questions from donors regarding insurance; Not Investment Related; 1 hour/month; 1 hour/month during business hours; No Compensation. 7) JackMorgan and Associates, LLC; 16 Linden Place Colts Neck, NJ 07722; 09/16/2013; Sole Member; LLC to handle business expenses; Not Investment Related; 0 hours/month; 0 hours/month during business hours; No Compensation. 8) OneTeam Financial Learning Program; 331 Newman Springs Road Bldg. 1, Suite 107 Red Bank, NJ 07701; Learning Program; Not Investment Related; CEO; Presenter in learning program; 02/01/2023; 3 hours per month; 3 hours per month during trading hours. 9) Prosperity Capital Advisors; 30400 Detroit Road Suite 201 Westlake, OH 44145; Registered Investment Advisor; Investment Related; Advisor; Holistic Retirement Planning and independent life insurance policy review; 03/01/2024; 80 hours per month; 60 hours per month during trading hours. 10) Mr. Buckwald is a registered representative of M Holdings Securities, Inc., a registered broker-dealer and member of FINRA conducting business at his registered location. In such capacity, Mr. Buckwald sells securities through M Holding Securities, Inc. and receives normal and customary commissions and other types of compensation, for example, mutual fund 12b-1 fees or variable annuity trails. Mr. Buckwald spends approximately 10 hours per week on this activity during trading hours. 11) David Buckwald has ownership shares in Blu, LLC and C2P Enterprises, LLC which includes its affiliate C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors (PCA). Mr. Buckwald is not involved in the day-to-day operations of the company but is an advisor of PCA. Mr. Buckwald spends less than one hour per month on this activity during non-trading hours. 12) David Buckwald is a Board of Directors member for M Financial. In this position, Mr. Buckwald participates in regular meetings and consults M Financial on strategic matters. Mr. Buckwald spends approximately 4 hours per month on this activity during trading hours. Mr. Buckwald receives annual compensation for this activity.
CRS (Client Relationship Summary) - RIA
Click below to view David T Buckwald's 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®
CFP®
Start date: 2001
Experience
Current
November 9, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Road Bldg. 1, Suite 107, Red Bank, NJ 07701Office #2: 200 Connell Park Suite 2l8a, Berkeley Heights, NJ 07922RIA
CRD#: 156480
Red Bank, NJ
Current
October 29, 2010 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 331 Newman Springs Road, Bldg 1, Suite 107, Red Bank, NJ 07701RIA
BD
CRD#: 43285
Red Bank, NJ
Past
October 29, 2010 - March 7, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
Cranford, NJ
Past
August 1, 2008 - November 1, 2010
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
CRANFORD, NJ
Past
August 1, 2008 - November 1, 2010
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
CRANFORD, NJ
Past
October 27, 2000 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
CRANFORD, NJ
Past
December 7, 1988 - December 15, 1988
MOORE & SCHLEY SECURITIES CORPORATION
BD
CRD#: 10397
Past
December 7, 1988 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
CRANFORD, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(10/24/2023)
RR
Arizona(1/6/2025)
RR
California(10/29/2010)
RR
Colorado(11/8/2023)
RR
Connecticut(10/29/2010)
RR
Delaware(10/29/2010)
RR
Florida(10/29/2010)
RR
Georgia(10/23/2023)
RR
Idaho(6/24/2025)
RR
Illinois(10/29/2010)
RR
Indiana(10/29/2010)
RR
Kansas(10/29/2010)
RR
Kentucky(10/29/2010)
RR
Louisiana(1/2/2025)
RR
Maine(1/6/2025)
RR
Maryland(1/6/2025)
RR
Massachusetts(11/27/2023)
RR
Michigan(1/6/2025)
RR
Minnesota(3/18/2025)
RR
Mississippi(8/22/2024)
RR
Missouri(10/29/2010)
RR
Montana(1/2/2025)
RR
Nebraska(10/19/2023)
RR
New Hampshire(8/7/2025)
RR
New Jersey(10/29/2010)
IAR
New Jersey(11/9/2023)
RR
New Mexico(10/20/2023)
RR
New York(10/29/2010)
IAR
New York(11/9/2023)
RR
North Carolina(10/29/2010)
RR
Ohio(11/1/2010)
RR
Oregon(6/2/2025)
RR
Pennsylvania(10/29/2010)
RR
South Carolina(1/8/2025)
RR
South Dakota(12/12/2018)
RR
Tennessee(1/3/2025)
RR
Texas(10/29/2010)
RR
Utah(12/24/2024)
RR
Virginia(10/29/2010)
RR
Washington(2/8/2024)
RR
Wisconsin(1/3/2025)
RR
Wyoming(6/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
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.
