David S. Altschul
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 Stephen Altschul, who also goes by Dave S Altschul, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2021 - October 10, 2022
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
January 1, 2019 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
October 29, 2015 - December 31, 2016
FOOTHILL SECURITIES, INC.
September 22, 2005 - October 19, 2015
PERSHING LLC
October 21, 2002 - October 3, 2003
BNY MELLON SECURITIES LLC
October 23, 1998 - July 24, 2002
DREYFUS BROKERAGE SERVICES, INC.
March 12, 1998 - September 21, 1998
BNY MELLON SECURITIES CORPORATION
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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
