DF
David W. Ficarra
DISCIPLINE WEALTH SOLUTIONS
STERLING HEIGHTS, MI
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CRD#: 2302076
DF
Professional summary
David Wayne Ficarra is a registered financial advisor currently at DISCIPLINE WEALTH SOLUTIONS, INC. located in Sterling Heights, Michigan.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. David has worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. DAVID FICARRA, TAX ACCOUNTANT, ACCOUNTANT AND CONSULTANT. DUTIES INCLUDE TAX PREP, ACCOUNTING, BUSINESS PLANREVIEW. NOT INVESTMENT-RELATED; 34450 COACHWOOD, STERLING, MI 48312. START DATE: 01/1991. HOURS PER MONTH: APPROX.4; 1 DURING TRADING HOURS (MORE DURING TAX SEASON). 2. DAVID FICARRA, INSURANCE AGENT. DUTIES INCLUDE SALES OF LONGTERM CARE, LIFE AND HEALTH INSURANCE AND FIXED/INDEXED ANNUITY PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES.START DATE 1992; APPROXIMATELY 6 HOURS PER WEEK; APPROX. 4 DURING TRADING HOURS. INVESTMENT-RELATED.STERLING HEGHTS. 3. TAX SOLUTIONS CONSULTANTS, DUTIES INCLUDE QUALIFIED PLAN CONSULTANT, VALUATIONS, 401(K) BENCHMARKING, TAX ANALYSIS. NOT INVESTMENT-RELATED; 34450 COACHWOOD, STERLING HEIGHTS, MI 48312. START DATE 05/16/2018. HOURS PER MONTH: APROX. 6 HOURS PER MONTH; APROX. 1 HOUR PER TRADING ( MORE DURING TAX SEASON).
CRS (Client Relationship Summary) - RIA
Click below to view David Wayne Ficarra'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®
NoneExperience
Current
October 22, 2024 - Present
DISCIPLINE WEALTH SOLUTIONS, INC.
RIA
CRD#: 315846
STERLING HEIGHTS, MI
Past
February 28, 2017 - October 24, 2024
CPR INVESTMENTS INC
RIA
CRD#: 139067
ROCHESTER, MI
Past
March 13, 2015 - February 27, 2017
CAPITAL MARKETS IQ, LLC
RIA
CRD#: 134921
STERLING HEIGHTS, MI
Past
August 20, 2014 - March 13, 2015
QUARTERMASTER WEALTH MANAGEMENT, LLC
RIA
CRD#: 166807
STERLING HEIGHTS, MI
Past
August 16, 1994 - August 6, 2014
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
STERLING HEIGHTS, MI
Past
December 21, 1992 - August 15, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 21, 1992 - August 15, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
DW
DISCIPLINE WEALTH SOLUTIONS, INC.
AR 21 INVESTMENT ADVISORY SERVICE | WISER FINANCIAL COACHING, LLC | V8 WEALTH | V8 INVESTMENT ADVISORS | THE STAHLNECKER GROUP LLC | PETRY FINANCIAL SERVICES | JOSYLN FINANCIAL SERIVICES | FOREVER YOUNG FINANCIAL | FINANCIAL WINGS, LLC | FIGTREE FINANCIAL SERVICES, LLC | DISCIPLINE WEALTH SOLUTIONS, INC. | CUCHETTI FINANCIAL PARTNERS LLC | BYRD ASSET MANAGEMENT, LLC
CRD#: 315846 / SEC#: 801-122049
RIA
Registered Investment Advisory firm - (8/10/2021 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.Highlighted states indicate IAR registrations
IAR
Michigan(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
DW
DISCIPLINE WEALTH SOLUTIONS, INC.
AR 21 INVESTMENT ADVISORY SERVICE | WISER FINANCIAL COACHING, LLC | V8 WEALTH | V8 INVESTMENT ADVISORS | THE STAHLNECKER GROUP LLC | PETRY FINANCIAL SERVICES | JOSYLN FINANCIAL SERIVICES | FOREVER YOUNG FINANCIAL | FINANCIAL WINGS, LLC | FIGTREE FINANCIAL SERVICES, LLC | DISCIPLINE WEALTH SOLUTIONS, INC. | CUCHETTI FINANCIAL PARTNERS LLC | BYRD ASSET MANAGEMENT, LLC
CRD#: 315846 / SEC#: 801-122049
RIA
Registered Investment Advisory firm - (8/10/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15 Halton Green Way, Greenville, SC 29607
Mailing Address
Phone number
(864) 322-6046
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,750 |
| AUM (Assets Under Management) | $ 316,318,696 |
Red Flags
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