David E. Gastwirth
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 Eric Gastwirth was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2003 - December 21, 2012
USI SECURITIES, INC.
June 4, 2002 - May 13, 2003
CAP PRO BROKERAGE SERVICES, INC.
January 2, 2001 - May 21, 2002
THE LEADERS GROUP, INC.
February 3, 2000 - February 8, 2001
EQUITABLE ADVISORS, LLC
November 10, 1998 - June 2, 1999
BERKSHIRE EQUITY SALES, INC.
November 20, 1996 - October 28, 1998
OSAIC WEALTH, INC.
July 28, 1993 - August 25, 1997
BERKSHIRE EQUITY SALES, INC.
November 4, 1992 - June 9, 1993
OSAIC WEALTH, INC.
August 31, 1992 - November 24, 1992
BERKSHIRE EQUITY SALES, INC.
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
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
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| NEWBORN, ERNEST JOSHUA | DIRECTOR/SECRETARY | 3154426 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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