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DS

David W. Styfco

CEROS FINANCIAL SERVICES
Rockville, MD 20850
Some features on this profile are disabled
CRD#: 2522580
DS

Professional summary

David William Styfco JR, who also goes by David William Styfco, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland.

David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David William Styfco

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) - BD

Click below to view David William Styfco JR'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

October 4, 2024 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 1445 Research Boulevard Suite 530, Rockville, MD 20850
BD
CRD#: 37869
Rockville, MD
Past

April 9, 2010 - September 17, 2024

AEGIS CAPITAL CORP.

BD
CRD#: 15007
MELVILLE, NY
Past

June 26, 2006 - March 30, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
CARLE PLACE, NY
Past

January 4, 1999 - June 21, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SCARSDALE, NY
Past

January 22, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

August 20, 1996 - January 28, 1998

ROAN CAPITAL PARTNERS L.P.

BD
CRD#: 33063
NEW YORK, NY
Past

November 8, 1995 - August 22, 1996

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

February 21, 1995 - September 21, 1995

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

September 28, 1994 - February 22, 1995

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(10/4/2024)
RR
California
(10/4/2024)
RR
Colorado
(10/4/2024)
RR
Connecticut
(10/4/2024)
RR
Florida
(10/4/2024)
RR
Georgia
(1/6/2025)
RR
Illinois
(10/4/2024)
RR
Maryland
(1/6/2025)
RR
Massachusetts
(10/4/2024)
RR
Michigan
(1/6/2025)
RR
Minnesota
(10/4/2024)
RR
Missouri
(10/4/2024)
RR
New Hampshire
(10/4/2024)
RR
New Jersey
(10/4/2024)
RR
New York
(10/4/2024)
RR
Ohio
(10/4/2024)
RR
Oregon
(10/4/2024)
RR
Pennsylvania
(10/4/2024)
RR
Texas
(10/4/2024)
RR
Utah
(1/6/2025)
RR
Virginia
(10/4/2024)
RR
Washington
(1/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/8/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869Rockville, MD 20850

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