David M. Silveira
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 Mendonca Silveira, CFA was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 4 firms and has passed the Series 66, 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
Experience
February 11, 2019 - April 26, 2021
OPES WEALTH MANAGEMENT, LLC
August 22, 2014 - June 8, 2017
OPES ADVISORS, INC.
January 3, 2008 - December 31, 2009
CHARLES SCHWAB & CO., INC.
October 8, 2007 - December 31, 2009
CHARLES SCHWAB & CO., INC.
October 1, 1997 - August 18, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
Primary Firm SEC Registration
OPES WEALTH MANAGEMENT, LLC
CRD#: 299704 / SEC#: 801-114436
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
OPES WEALTH MANAGEMENT, LLC
CRD#: 299704 / SEC#: 801-114436
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 387 |
| AUM (Assets Under Management) | $ 664,729,272 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/30/2024 | ||
| 03/21/2024 | ||
| 03/21/2023 |
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.
