David J. Dalzell

DALZELL TRADING

State College, PA 16801

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CRD#: 2367306

Professional summary

David John Dalzell, who also goes by David Dalzell, is a registered financial advisor currently at DALZELL TRADING, LLC located in State College, Pennsylvania.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. David has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 7, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Dalzell

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.

Dalzell Trading, LLC, 20 Main Street, Suite 203A, Natick, MA 01760, Managing Member, MA Registered Investment Advisor, 08/25/2015, 20hrs/month, 5 during trading hours, Investment Related, Receive Compensation, provide trading desk consulting.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David John Dalzell'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®

None

Experience

Current

July 22, 2025 - Present

DALZELL TRADING, LLC

Office #1: 250 E. Beaver Ave., Suite 772, State College, PA 16801

RIA

CRD#: 175349

State College, PA

Past

March 29, 2018 - July 22, 2025

DALZELL TRADING, LLC

CRD#: 175349

STATE COLLEGE, PA

Past

May 20, 2015 - July 22, 2025

DALZELL TRADING, LLC

RIA

CRD#: 175349

STATE COLLEGE, PA

Past

August 11, 1993 - October 21, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Pennsylvania
(7/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/19/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 10/7/2017

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 6/21/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 9/26/2017

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2017

General Securities Principal Examination

Current Firm

DALZELL TRADING, LLC

DALZELL TRADING CONSULTANTS | DT INVESTMENT ADVISORS | DALZELL TRADING, LLC | DALZELL TRADING CONSULTANTS, LLC

CRD#: 175349 / SEC#: , 8-69938

Massachusetts

Registered Investment Advisory firm - SEC (12/31/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/18/2019 Approved)

Terminated by SEC on 08/01/2025

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

250 E. Beaver Ave., Suite 772, State College, PA 16801

Mailing Address

Phone number

(617) 340-5313

Established

Pennsylvania since 08/25/2014

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
DALZELL, DAVID JOHN	CEO, PRINCIPAL, CHIEF COMPLIANCE OFFICER, CFO,	2367306

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 3,973,696

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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Firm Stability Insights

David J. Dalzell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David John Dalzell's CRS (Customer Relationship Summary).

Certified licenses

Experience

DALZELL TRADING, LLC

DALZELL TRADING, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/2017

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 57

Date: 10/7/2017

Series 7

Date: 6/21/2017

Series 14

Date: 1/2/2023

Series 4

Date: 9/26/2017

Series 24

Date: 7/31/2017

Current Firm

DALZELL TRADING, LLC

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

DALZELL TRADING, LLC

TRUST BUT VERIFY

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