David W. Marinofsky
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 William Marinofsky was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 9 firms and has passed the Series 66, 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
June 8, 2017 - October 18, 2017
ADP STRATEGIC PLAN SERVICES, LLC
April 19, 2017 - June 10, 2019
ADP BROKER-DEALER, INC.
November 7, 2016 - March 28, 2017
BHA SELECT NETWORK, LLC
March 11, 2011 - July 27, 2015
NEUBERGER BERMAN BD LLC
March 11, 2011 - July 27, 2015
NEUBERGER BERMAN BD LLC
October 2, 2008 - December 31, 2009
NEUBERGER BERMAN MANAGEMENT LLC
October 2, 2008 - July 27, 2015
NEUBERGER BERMAN MANAGEMENT LLC
December 19, 2007 - July 29, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 14, 2007 - July 29, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 6, 2006 - December 4, 2007
ADP BROKER-DEALER, INC.
July 20, 2004 - July 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 2004 - July 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 1996 - January 7, 1999
J.P. MORGAN SECURITIES LLC
December 14, 1994 - August 4, 1995
LPL FINANCIAL LLC
Primary Firm SEC Registration
ADP STRATEGIC PLAN SERVICES, LLC
CRD#: 286555 / SEC#: 801-109013
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
ADP STRATEGIC PLAN SERVICES, LLC
CRD#: 286555 / SEC#: 801-109013
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 90,603 |
| AUM (Assets Under Management) | $ 23,781,365,084 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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