David A. Sterman

HUGUENOT FINANCIAL PLANNING

New Paltz, NY

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CRD#: 2460229

Professional summary

David Adam Sterman, CFP® is a registered financial advisor currently at HUGUENOT FINANCIAL PLANNING located in New Paltz, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 86, Series 87 and Series 24 exams.

Biography

Beyond his career focus on investing, David perceived a need for financial planning that would go beyond investment advice to help clients with decision-making in all aspects of their financial lives.

David’s academic career includes earning Bachelor’s Degrees in Philosophy and Political Science from Emory University, along with a Master’s in the Science of Management from Georgia Tech. He has also been very actively involved in the non- profit community, at both the Board Director level and as a volunteer.

Question & Answer

What are your service offerings?

Insurance Planning

Education Planning

Investment Planning

Retirement Planning

Tax Planning

Comprehensive Financial Planni...

Business Succession Planning

Health Care

Estate Planning

Do you have an area of expertise or specialization?

Charitable Giving

College/Education Planning

Fixed Fee (Subscription, Retai...

Hourly

Investment Advice without Ongo...

Millennials

What is your minimum asset requirement?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Adam Sterman'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

November 26, 2021 - Present

HUGUENOT FINANCIAL PLANNING

RIA

CRD#: 292553

New Paltz, NY

Past

October 4, 2016 - November 14, 2017

LPL FINANCIAL LLC

CRD#: 6413

NEWBURGH, NY

Past

December 7, 2005 - November 28, 2007

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

NEW YORK, NY

Past

December 3, 2003 - October 12, 2005

HALPERN CAPITAL, INC.

CRD#: 119895

AVENTURA, FL

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

New York
(11/26/2021)

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

IAR

Series 65

Date: 2/2/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/6/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2016

General Securities Representative Examination

General Industry/Product Exam

Series 86

Date: 3/9/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 2/8/2005

Research Analyst Exam - Part II Regulations Module

Principal/Supervisory Exam

Series 24

Date: 4/18/2006

General Securities Principal Examination

Current Firm

HUGUENOT FINANCIAL PLANNING

DAVID ADAM STERMAN | HUGUENOT FINANCIAL PLANNING

CRD#: 292553 / SEC#:

New York

Registered Investment Advisory firm - (5/30/2018 Approved)

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Contact information

Main Address

New Paltz, NY

Mailing Address

Phone number

(917) 553-0675

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

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David A. Sterman

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Adam Sterman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

JESUP & LAMONT SECURITIES CORP

HALPERN CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2018

Series 63

Date: 10/6/2016

SIE

Date: 11/14/2017

Series 7

Date: 10/4/2016

Series 86

Date: 3/9/2005

Series 87

Date: 2/8/2005

Series 24

Date: 4/18/2006

Current Firm

HUGUENOT FINANCIAL PLANNING

Contact information

Documents

Red Flags

Company Information

HUGUENOT FINANCIAL PLANNING

TRUST BUT VERIFY

Contact information

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