David J. Halpert

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CRD#: 234621

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 Jerry Halpert was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1970. David had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 1, Series 24 and Series 30 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 13, 2016 - March 17, 2017

SILVER LEAF PARTNERS, LLC

CRD#: 126694

NEW YORK, NY

Past

December 1, 2014 - October 27, 2015

CETERA ADVISORS LLC

CRD#: 10299

ENCINO, CA

Past

August 31, 2005 - January 3, 2011

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

LOS ANGELES, CA

Past

August 26, 2004 - December 3, 2004

MT RUSHMORE SECURITIES LLC

CRD#: 130955

FAIRFIELD, IA

Past

July 22, 2002 - January 21, 2003

COUNTRYWIDE SECURITIES CORPORATION

CRD#: 10598

CALABASAS, CA

Past

February 6, 1995 - June 14, 2000

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

November 11, 1991 - June 13, 2000

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

July 25, 1987 - October 2, 1991

INTERCAPITAL GOVERNMENT SECURITIES INC.

CRD#: 19710

NEW YORK, NY

Past

February 27, 1980 - February 26, 1982

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

October 1, 1978 - February 27, 1980

MORGAN STANLEY & CO., INCORPORATED

CRD#: 5203

Past

December 2, 1970 - March 28, 1974

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2014

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/11/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 1

Date: 11/25/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 11/4/1997

NFA Branch Manager Examination

Current Firm

SILVER LEAF PARTNERS, LLC

CRD#: 126694 / SEC#: , 8-65902

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

3 Columbus Circle Floor 15, New York, NY 10019

Mailing Address

3 Columbus Circle Floor 15, New York, NY 10019

Phone number

(212) 632-8421

Established

New York since 01/15/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KHAN, M. FYZUL	CEO/CCO/MANAGING MEMBER	3103833
LESHER, JAMES ELAM	POO	1044046
TAO, BING QIN	FINOP/PFO	6253793

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

David J. Halpert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

NATIONWIDE PLANNING ASSOCIATES INC.

MT RUSHMORE SECURITIES LLC

COUNTRYWIDE SECURITIES CORPORATION

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD SECURITIES

INTERCAPITAL GOVERNMENT SECURITIES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO., INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/21/1992

SIE

Date: 3/17/2017

Series 7

Date: 12/1/2014

Series 3

Date: 10/11/1995

Series 1

Date: 11/25/1970

Series 24

Date: 10/22/2004

Series 30

Date: 11/4/1997

Current Firm

SILVER LEAF PARTNERS, LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SILVER LEAF PARTNERS, LLC

TRUST BUT VERIFY

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