DH
David G. Halper
TRIVIUM POINT ADVISORY
WILTON, CT 06897
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CRD#: 2029654
DH
Professional summary
David Grad Halper, ChFC®, CLU®, who also goes by Dave Halper, is a registered financial advisor currently at TRIVIUM POINT ADVISORY, LLC located in Wilton, Connecticut and LPL FINANCIAL LLC located in Wilton, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. David has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Halper
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- 12/15/2023 - PFP Management LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 12/15/2023 - 0 Hours Per Month/ During Trading 2- 12/15/2023 - PFP Holdings LLC - Tax Prep/Accounting/CPA - Not Investment Related - At Reported Business Location(s) - Start Date 12/15/2023 - 0 Hours Per Month/ During Trading 3- 12/15/2023 - Trivium Point Insurance Group, LLC / Non-Variable Insurance / Investment Related / At Reported Business Location(s) - Start Date 12/15/2023 - 173 hrs month / 30 hrs during trading. 4- 12/15/2023 / Trivium Point Accounting - Tax Prep / Accounting / CPA - Investment Related - At Reported Business Location(s) - Start Date 12/15/2023 - 0 Hours Per Month/ During Trading 5- 12/15/2023 - Trivium Point Advisory - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/15/2023 - 0 Hours Per Month/ During Trading 6- 12/19/2023 - TRIVIUM POINT ADVISORY, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 12/15/2023 - 160 Hours Per Month/ 0 Hours During Trading - I provide investment advisory services through Trivium Point Advisory, LLC, an independent investment advisor firm. I started this business activity in 12/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7- 02/26/2024 - Trivium Point Holdings LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 173 Hours Per Month/ During Trading
CRS (Client Relationship Summary) - RIA
Click below to view David Grad Halper'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®
Experience
Current
May 15, 2018 - Present
TRIVIUM POINT ADVISORY, LLC
Office #1: 40 Danbury Road Suite 310, Wilton, CT 06897RIA
CRD#: 292182
WILTON, CT
Current
December 15, 2023 - Present
LPL FINANCIAL LLC
Office #1: 40 Danbury Rd #301, Wilton, CT 06897RIA
BD
CRD#: 6413
WILTON, CT
Past
May 11, 2018 - December 15, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Westport, CT
Past
April 18, 2016 - May 23, 2018
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
WESTPORT, CT
Past
February 11, 1999 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
WESTPORT, CT
Past
September 22, 1997 - May 23, 2018
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
WESTPORT, CT
Past
February 5, 1997 - September 19, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
February 27, 1996 - January 8, 1997
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
October 7, 1992 - September 21, 1995
SMH CAPITAL INVESTMENTS LLC
BD
CRD#: 24535
FT. WORTH, TX
Past
February 23, 1990 - July 20, 1992
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
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".
TP
TRIVIUM POINT ADVISORY, LLC
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
CRD#: 292182 / SEC#: 801-112426
RIA
Registered Investment Advisory firm - (2/9/2018 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
California(12/15/2023)
IAR
Connecticut(5/15/2018)
RR
Connecticut(12/15/2023)
RR
Florida(12/15/2023)
RR
Massachusetts(12/15/2023)
RR
New Jersey(12/15/2023)
RR
New York(12/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TRIVIUM POINT ADVISORY, LLC
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
CRD#: 292182 / SEC#: 801-112426
RIA
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Contact information
Main Address
40 Danbury Road Suite 310, Wilton, CT 06897
Mailing Address
Phone number
(203) 221-3085
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,177 |
| AUM (Assets Under Management) | $ 1,487,605,211 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRIVIUM POINT ADVISORY, LLC
CRD#: 292182Wilton, CT 06897TRUST BUT VERIFY
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