DR
David G. Robichaud
MADISON AVENUE SECURITIES
Bedford, NH 03110
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CRD#: 2733832
DR
Professional summary
David Guy Robichaud is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Bedford, New Hampshire.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 8 firms and has passed the Series 63, SIE, Series 62, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.) DGR FINANCIAL GROUP, LLC; FINANCIAL SERVICES ;YES, INVESTMENT RELATED; 264 S RIVER RD, SUITE 448,BEDFORD, NH 03110; SOLICITATION, SALES, AND SERVICES OF INSURANCE PRODUCTS; OWNER; 1/2005; 100 HRS/MONTH; 160 DURING SECURITIES TRADING HOURS. 2.) HIGH POINT CAPITAL WEALTH; FINANCIAL SERVICES ;YES, INVESTMENT RELATED; 264 S RIVER RD, SUITE 448, BEDFORD, NH 03110; SOLICITATION, SALES, AND SERVICES OF BROKERED INSURANCE PRODUCTS;OWNER AND REGISTERED REPRESENTATIVE AND INVESTMENT ADVISER REPRESENTATIVE; 06/2020; 160 HRS/MONTH; 80 DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view David Guy Robichaud's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Guy Robichaud'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
August 10, 2021 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 5 Bedford Farms Drive Suite 104, Bedford, NH 03110RIA
BD
CRD#: 23224
Bedford, NH
Current
May 15, 2020 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 5 Bedford Farms Drive Suite 104, Bedford, NH 03110RIA
BD
CRD#: 23224
Bedford, NH
Past
May 21, 2020 - June 28, 2021
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
BEDFORD, NH
Past
December 22, 2008 - May 13, 2020
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
BEDFORD, NH
Past
December 19, 2008 - May 13, 2020
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
BEDFORD, NH
Past
December 7, 2007 - November 24, 2008
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
BEDFORD, NH
Past
December 7, 2007 - November 24, 2008
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
BEDFORD, NH
Past
February 7, 2005 - December 14, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BEDFORD, NH
Past
August 8, 1996 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 8, 1996 - November 4, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
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
RR
California(5/18/2020)
RR
Maine(6/5/2023)
RR
Maryland(5/18/2020)
RR
Massachusetts(5/18/2020)
RR
New Hampshire(6/4/2020)
IAR
New Hampshire(8/10/2021)
RR
South Carolina(8/2/2024)
RR
Vermont(6/2/2023)
RR
Virginia(12/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/30/2014
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
Company Information
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Bedford, NH 03110TRUST BUT VERIFY
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