David L. Weiss
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 Lonis Weiss, CFP®, who also goes by Dave Weiss, David L. Weiss, David Weiss, 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
Start date: 2002
Experience
August 16, 2016 - September 27, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 18, 2016 - September 27, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 22, 2010 - August 2, 2016
LPL FINANCIAL LLC
December 15, 2010 - August 2, 2016
LPL FINANCIAL LLC
October 6, 2010 - December 3, 2010
OSAIC FS, INC.
September 15, 2010 - December 3, 2010
OSAIC FS, INC.
December 5, 2008 - August 26, 2009
RUGGIE WEALTH MANAGEMENT
April 26, 2005 - October 25, 2010
LPL FINANCIAL LLC
April 22, 2005 - October 25, 2010
LPL FINANCIAL LLC
September 5, 2000 - June 22, 2004
WS GRIFFITH SECURITIES, INC.
January 30, 1997 - May 20, 1999
WS GRIFFITH SECURITIES, INC.
December 12, 1995 - December 13, 1996
HOCHMAN & BAKER SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
