David J. Volpe
Professional summary
David John Volpe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, David had worked at 5 firms, which includes FFEC WEALTH PARTNERS LLC, LPL FINANCIAL LLC, NATIONAL PLANNING CORPORATION, OSAIC SERVICES INC., SUNAMERICA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2019 - May 2, 2019
FFEC WEALTH PARTNERS LLC
November 29, 2017 - December 27, 2018
LPL FINANCIAL LLC
January 2, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
October 31, 2005 - December 31, 2008
OSAIC SERVICES, INC.
March 4, 1996 - October 31, 2005
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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