DW
David M. Weiner
PERSHING LLC
Lake Mary, FL 32746
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CRD#: 2733077
DW
Professional summary
David Michael Weiner is a registered financial professional currently at PERSHING LLC located in Lake Mary, Florida.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Michael Weiner's 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®
NoneExperience
Current
September 29, 2017 - Present
PERSHING LLC
Office #1: 600 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 7560
Lake Mary, FL
Past
June 22, 2011 - September 20, 2017
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ORLANDO, FL
Past
June 20, 2011 - September 20, 2017
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ORLANDO, FL
Past
February 22, 2011 - May 31, 2011
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TAVARES, FL
Past
December 17, 2010 - May 31, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TAVARES, FL
Past
November 3, 2006 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
TAVARES, FL
Past
October 23, 2006 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
TAVARES, FL
Past
August 24, 2006 - September 11, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ORLANDO, FL
Past
September 27, 1996 - July 15, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION
CRD#: 7560 / SEC#: , 8-17574
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
