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DS

David Y. Shohet

FINANCIAL TELESIS
Oakland, CA 94607
Some features on this profile are disabled
CRD#: 2116740
DS

Professional summary

David Y Shohet is a registered financial professional currently at FINANCIAL TELESIS INC located in Oakland, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Y Shohet'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®
None

Experience

Current

March 8, 2013 - Present

FINANCIAL TELESIS INC

Office #1: 1111 Broadway Suite 300, Oakland, CA 94607
BD
CRD#: 31012
Oakland, CA
Past

January 7, 1991 - October 6, 1992

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(3/8/2013)
RR
New York
(10/17/2016)
RR
North Carolina
(11/26/2020)
RR
Oregon
(3/8/2013)
RR
Virginia
(12/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/7/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/3/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FT
FINANCIAL TELESIS INC
FINANCIAL TELESIS INC | JHW FINANCIAL SERVICES INC. | FINANCIAL TELESIS, INC. | FINANCIAL TELESIS INC.

CRD#: 31012 / SEC#: 801-63974, 8-45304

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Mailing Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Phone number
(415) 526-2759
Established
California since 11/01/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/31/2014)

Direct owners and executive officers

NamePositionCRD#
COLLINS, ELIZABETH SARAHPRESIDENT, CFO, FINOP, CCO4714831
WILLIAMS, JAMES HOUSTONPRINCIPAL1482414

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.

Company Information

FINANCIAL TELESIS INC

CRD#: 31012Oakland, CA 94607

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