David J. Levenstein
Professional summary
David Joseph Levenstein was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David Joseph Levenstein was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1997. David had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2012 - November 5, 2013
OPPENHEIMER & CO. INC.
September 24, 2012 - November 5, 2013
OPPENHEIMER & CO. INC.
May 22, 2012 - October 1, 2012
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
May 2, 2011 - October 1, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
October 26, 2006 - June 1, 2011
ASSET & FINANCIAL PLANNING, LTD
October 16, 2006 - June 1, 2011
PRIME CAPITAL SERVICES, INC.
February 23, 2005 - July 31, 2006
ASSET & FINANCIAL PLANNING, LTD
February 10, 2005 - July 31, 2006
PRIME CAPITAL SERVICES, INC.
November 12, 2004 - January 18, 2005
J. B. HANAUER & CO.
November 9, 2004 - January 18, 2005
J. B. HANAUER & CO.
October 20, 2004 - November 9, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 9, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 28, 2004 - October 20, 2004
QUICK & REILLY, INC.
May 13, 2003 - October 20, 2004
QUICK & REILLY, INC.
April 29, 2002 - May 29, 2003
RYAN BECK & CO.
April 27, 2000 - May 13, 2002
GRUNTAL & CO., L.L.C.
August 8, 1997 - April 28, 2000
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
