David M. Maggio

PERSONAL FINANCIAL PROFILES

NAPLES, FL 34109

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CRD#: 2447727

Professional summary

David Michael Maggio, who also goes by David M Maggio, is a registered financial advisor currently at PERSONAL FINANCIAL PROFILES INC located in Naples, Florida and APW CAPITAL, INC. located in Coral Springs, Florida.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David M Maggio

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. ELM44 FINANCIAL GROUP, LLC; NON-INVESTMENT RELATED; 1415 PANTHER LANE SUITE 356 NAPLES FL 34109;INSURANCE SALES/OWNER; 10 HOURS PER WEEK; STARTED 04/2013 2. PERSONAL FINANCIAL PROFILES, INC.; INVESTMENT RELATED; 2801 UNIVERSITY DRIVE SUITE 201B CORAL SPRINGS FL 33065; REGISTERED INVESTMENT ADV/MONEY MANAGEMENT; PRESIDENT/CCO (SINCE 04/2018); STARTED 04/2013; 40 HOURS PER WEEK 3. APW CAPITAL, INC FKA COMPREHENSIVE ASSET MANAGEMENT & SERVICING, INC.; INVESTMENT RELATED; NAPLES, FL; REG REP; 01/2014; 2% OF HIS TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Maggio'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

May 3, 2013 - Present

PERSONAL FINANCIAL PROFILES INC

Office #1: 1415 Panther Lane, Naples, FL 34109

RIA

CRD#: 109327

NAPLES, FL

Current

January 2, 2014 - Present

APW CAPITAL, INC.

Office #1: 10100 West Sample Road, Suite 201, Coral Springs, FL 33065Office #2: 1415 Panther Lane, Suite 356, Naples, FL 34109

CRD#: 43814

Coral Springs, FL

Past

April 9, 2013 - December 31, 2013

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

NAPLES, FL

Past

March 5, 2004 - April 5, 2013

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

NAPLES, FL

Past

March 5, 2004 - April 5, 2013

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

NAPLES, FL

Past

July 31, 2003 - March 1, 2004

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

NAPLES, FL

Past

June 6, 2003 - July 30, 2003

AMSOUTH INVESTMENT SERVICES, INC.

RIA

CRD#: 15692

NAPLES, FL

Past

May 20, 2002 - March 1, 2004

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

July 14, 1995 - December 10, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

PERSONAL FINANCIAL PROFILES INC

CRD#: 109327 / SEC#: 801-78068

RIA

Registered Investment Advisory firm - (5/20/2013 Approved)

Florida

Registered Investment Advisory firm - (5/21/2013 Terminated)

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).

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.

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

California
(2/25/2015)

Colorado
(10/2/2015)

IAR

Florida
(5/3/2013)

Florida
(1/17/2014)

Illinois
(2/24/2014)

Michigan
(1/3/2014)

Mississippi
(8/21/2017)

New Jersey
(12/2/2020)

New York
(1/17/2014)

Ohio
(1/14/2020)

IAR

Texas
(11/30/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/17/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/3/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/27/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

PERSONAL FINANCIAL PROFILES INC

CRD#: 109327 / SEC#: 801-78068

RIA

Registered Investment Advisory firm - (5/20/2013 Approved)

Florida

Registered Investment Advisory firm - (5/21/2013 Terminated)

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Contact information

Main Address

10100 W. Sample Road Suite 201, Coral Springs, FL 33065

Mailing Address

Phone number

(954) 755-8647

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFP ANNUAL FORM ADV PART 2A (2/19/2025)

Regulatory assets under management

Total Number of Accounts	367
AUM (Assets Under Management)	$ 293,882,747

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 M. Maggio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Maggio's CRS (Customer Relationship Summary).

Certified licenses

Experience

APW CAPITAL, INC.

FORESTERS EQUITY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

AMSOUTH INVESTMENT SERVICES, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

PERSONAL FINANCIAL PROFILES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2003

Series 63

Date: 2/15/1996

SIE

Date: 10/1/2018

Series 31

Date: 2/17/2009

Series 7

Date: 7/3/1995

Series 24

Date: 8/30/2004

Series 8

Date: 5/27/1998

FINRA

Current Firm

PERSONAL FINANCIAL PROFILES INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PERSONAL FINANCIAL PROFILES INC

TRUST BUT VERIFY

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