David R. Schnitzer
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 Richard Schnitzer was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 7 firms and has passed the 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
May 1, 2013 - June 8, 2016
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
July 27, 2007 - April 24, 2009
ELITE SECURITIES, INC.
July 27, 2007 - November 29, 2010
VOYA FINANCIAL ADVISORS, INC.
May 9, 2006 - December 20, 2006
UNDERWRITERS EQUITY CORPORATION
January 16, 2004 - December 17, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
September 8, 2000 - November 4, 2003
RBC CAPITAL MARKETS, LLC
January 21, 1993 - September 14, 2000
CIBC WORLD MARKETS CORP.
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
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
CRD#: 148024 / SEC#: , 8-67957
Contact information
Documents
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.
