David D. Jarosz

WNY ASSET MANAGEMENT

Fort Myers, FL

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CRD#: 2623087

Professional summary

David D Jarosz, who also goes by David Daniel Jarosz, is a registered financial advisor currently at WNY ASSET MANAGEMENT, LLC located in Fort Myers, Florida and LPL FINANCIAL LLC located in Ft Meyers, Florida.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Daniel Jarosz

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.

1- 07/2025 - Specific Solutions - Non-Variable Insurance - Investment Related - At Reported Business Location(s) -Start Date 10/09/2017 - 0 hours per month/ during trading 2- 07/2025 - WNY Asset Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) -Start Date 10/09/2017 - 0 hours per month/ during trading 3- 0718//2025 - WNY Asset Management - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) -Start Date 10/01/2025 - 0 hours per month/ during trading - I provide investment advisory services through WNY Asset Management, an independent investment advisor firm. I started this business activity in 10/2025. I expect to spend approximately 1 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David D Jarosz'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

August 4, 2020 - Present

WNY ASSET MANAGEMENT, LLC

RIA

CRD#: 153872

Fort Myers, FL

Current

July 10, 2025 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

Ft Meyers, FL

Past

May 4, 2021 - December 31, 2021

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Ft Meyers, FL

Past

August 25, 2004 - July 10, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

Ft Meyers, FL

Past

April 10, 2003 - September 8, 2004

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

June 21, 2002 - March 28, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

June 15, 1999 - June 18, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

June 28, 1995 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

June 28, 1995 - October 20, 1997

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Connecticut
(7/10/2025)

IAR

Florida
(2/16/2024)

Florida
(7/10/2025)

Illinois
(7/10/2025)

New Mexico
(7/10/2025)

IAR

New York
(7/8/2021)

New York
(7/10/2025)

Ohio
(7/10/2025)

IAR

Texas
(8/4/2020)

Texas
(7/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/20/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/27/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

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Contact information

Main Address

6500 Sheridan Drive, Suite 200, Williamsville, NY 14221

Mailing Address

Phone number

(716) 626-0060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (7/14/2025)

Regulatory assets under management

Total Number of Accounts	6,673
AUM (Assets Under Management)	$ 1,450,691,313

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

David D. Jarosz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David D Jarosz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

SIGNATOR INVESTORS, INC.

OSAIC FS, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

WNY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/2024

Series 63

Date: 7/24/1995

SIE

Date: 10/1/2018

Series 6

Date: 6/27/1995

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WNY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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