David M. Giunta
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 Michael Giunta, who also goes by David Michael Guinta, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1994. David had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2011 - August 1, 2012
ROK CAPITAL, LLC
December 2, 2005 - November 20, 2008
WEALTH MANAGEMENT, LLC
January 18, 2005 - August 6, 2009
SPRINGBOARD CAPITAL MANAGEMENT, INC.
April 11, 2003 - April 27, 2006
SPRINGBOARD SECURITIES, INC.
July 12, 2001 - August 5, 2003
WEALTH MANAGEMENT, L.L.C.
November 4, 1999 - December 31, 2002
MUTUAL SERVICE CORPORATION
October 30, 1995 - October 11, 1999
OSAIC WEALTH, INC.
September 21, 1995 - October 15, 1999
1717 CAPITAL MANAGEMENT COMPANY
October 18, 1994 - October 10, 1995
WMA SECURITIES, INC.
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
ROK CAPITAL, LLC
CRD#: 156240 / SEC#:
Contact information
Red Flags
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