David J. Leffel
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 John Leffel, who also goes by David J Leffel, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2021 - July 21, 2021
BETA WEALTH GROUP, INC
July 9, 2018 - July 2, 2019
ICBC STANDARD SECURITIES INC.
June 6, 2006 - June 4, 2018
DEUTSCHE BANK SECURITIES INC.
August 11, 2004 - June 2, 2006
J.P. MORGAN SECURITIES INC.
March 27, 2001 - April 26, 2001
ROBERT FLEMING INC.
December 24, 1998 - October 27, 1999
ROBERT FLEMING INC.
March 12, 1996 - December 23, 1998
FLEMING MARTIN INC.
August 31, 1995 - January 1, 1996
NOYES PARTNERS INCORPORATED
Primary Firm SEC Registration
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
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
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 430 |
| AUM (Assets Under Management) | $ 428,982,018 |
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.
