David J. Marshall

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CRD#: 2891867

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 Jay Marshall was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1998. David had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 24, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.Atlas Benefit Finance, LLC (ABF), non-investment related, 25 Central Park West, 7P, New York, NY 10023. ABF provides administrative services to plan sponsors using total return swaps to hedge P&L volatility related to their non-qualified deferred compensation programs. We are not a party to any agreements Plan Sponsors have with swap counterparties. All work is done under Swap Facilitation Services agreements between ABF and the Plan Sponsor. Title - Principal, start - May 8, 2008, 80 hours/month. 2. JurisPrudent Deferral Solutions LLC, non-investment related, 25 Central Park West, 7P, New York, NY 10023, JPDS offers fee deferral programs to plaintiff's attorneys. We have an opinion of counsel that JPDS products are not securities. Title - CIO, Jan 1, 2015, 16 hours/month. I do not receive compensation on distributions of fees received by my company, Atlas Financial Partners LLC, which has an ownership interest in JurisPrudent Deferral Solutions LLC. I am not involved in JPDS business activities. I am not an employee of JPDS, nor am I a voting member or an officer. 3.Windspirit Advisors LLC, non-investment related, 25 Central Park West, 7P, New York, NY 10023, Shell company Title - Principal, start - May 1, 2016, 0 hours. 4.Atlas Financial Partners LLC, non-investment related, 25 Central Park West, 7P, New York, NY 10023, Receiving swap facilitation management fees for administrative services to swap counterparties, title - Principal, start - Dec 16, 2013, 40 hours/month. May perform various activities for CapAcuity Consulting LLC or CapAcuity LLC which is affiliated by common ownership with CapAcuity Securities Inc. Hours and responsibilities may vary. This individual is a registered investment adviser with CapAcuity LLC.

Blog Corner

CRS (Client Relationship Summary)

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

LAKE MARY, FL

Past

March 11, 2010 - February 8, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

PLEASANTON, CA

Past

May 4, 1998 - April 30, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

CAPACUITY LLC

CAPACUITY LLC | CAVALLINO FINANCIAL LLC

CRD#: 297679 / SEC#: 801-113636

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

State Registrations and Notice Filings

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

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 8/7/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CAPACUITY LLC

CAPACUITY LLC | CAVALLINO FINANCIAL LLC

CRD#: 297679 / SEC#: 801-113636

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

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Contact information

Main Address

300 International Parkway Suite 350, Lake Mary, FL 32746

Mailing Address

Phone number

(407) 949-6889

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A - 03.31.2025 (3/31/2025)

PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 10,601,699,879

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
11/19/2024	Cover Page	Report
12/26/2023	Cover Page	Report
09/27/2022	Cover Page	Report

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.

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David J. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPACUITY SECURITIES, INC.

NEWPORT GROUP SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

CAPACUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2018

Series 63

Date: 5/8/1998

Series 7TO

Date: 1/2/2023

SIE

Date: 12/31/2016

Series 3

Date: 3/28/2005

Series 7

Date: 5/1/1998

Series 24

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 8/7/1998

Current Firm

CAPACUITY LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPACUITY LLC

TRUST BUT VERIFY

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