David L. Fishman

FORTUNE FINANCIAL SERVICES

Grand Rapids, MI 49546

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CRD#: 2292226

Professional summary

David Lawrence Fishman is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Grand Rapids, Michigan.

David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 Lawrence Fishman's CRS (Customer Relationship Summary).

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

January 2, 2015 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 771 Kenmoor Avenue Se Suite A, Grand Rapids, MI 49546Office #2: 160 Second Street Suite 110, Ketchum, ID 83340

CRD#: 42150

Grand Rapids, MI

Past

August 10, 2010 - December 31, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

GRAND RAPIDS, MI

Past

December 22, 1998 - August 16, 2010

NEW ENGLAND SECURITIES

CRD#: 615

GRAND RAPIDS, MI

Past

January 2, 1998 - January 4, 1999

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

October 1, 1997 - January 2, 1998

PINEBRIDGE SECURITIES LLC

CRD#: 5967

NEW YORK, NY

Past

March 1, 1996 - October 1, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 12, 1992 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

State Registrations and Notice Filings

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

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

Idaho
(8/25/2015)

Michigan
(1/2/2015)

Exams

State Security Law Exam

Series 63

Date: 11/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/9/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

3582 Brodhead Road Suite 202, Monaca, PA 15061

Mailing Address

P.o. Box 238, Monaca, PA 15061

Phone number

(724) 846-2488

Established

Pennsylvania since 10/21/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DANIELS, BLAKE WILLIAM	CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO	1285106
DANIELS, BRIAN LEE	OWNER	1213561
BENTLEY, GREGORY JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	705379
PINTARIC, WILLIAM RICHARD JR	CHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEE	CHIEF OPERATIONS OFFICER, FINOP, PFO, POO	4794021

Disclosures

Regulatory Event

Red Flags

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David L. Fishman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lawrence Fishman's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

NEW ENGLAND SECURITIES

CADARET, GRANT & CO., INC.

PINEBRIDGE SECURITIES LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1992

SIE

Date: 10/1/2018

Series 6

Date: 11/9/1992

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FORTUNE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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