David M. Schlossberg

ASSURED ADVISORY GROUP

EAST DUNDEE, IL 60118-2440

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CRD#: 3038857

Professional summary

David Michael Schlossberg, AIF®, who also goes by David Wayne Schlossberg, is a registered financial advisor currently at ASSURED ADVISORY GROUP, LLC located in East Dundee, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in East Dundee, Illinois.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Wayne Schlossberg

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) ASSURED CONCEPTS GROUP, LTD, D/B/A, PRESIDENT, EAST DUNDEE, IL, INSURANCE SALES, START 2/1997, 1 HR PER MONTH, NOT INVESTMENT RELATED...(2) TAX PLAN FOR WEALTH, INC., TAX PREPARATION AND PLANNING SERVICES, PRESIDENT, EAST DUNDEE, IL, 20 HRS PER MONTH, 2 HRS PER DAY DURING TRADING HRS, NOT INVESTMENT RELATED...(3) TRUSTEE FOR SONS SPECIAL NEEDS TRUST, LAKE IN THE HILLS, IL, START 2010, ZERO HRS PER MONTH, NOT INVESTMENT RELATED...(4) Mr. Schlossberg owns land in Texas that he leases for farming hay. He spends no time on this activity. He is paid for leasing the land.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Schlossberg'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

December 7, 2021 - Present

ASSURED ADVISORY GROUP, LLC

Office #1: 1141 East Main Street Suite 215, East Dundee, IL 60118-2440

RIA

CRD#: 316449

EAST DUNDEE, IL

Current

December 8, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 1141 E. Main Street Suite 215, East Dundee, IL 60118

CRD#: 35747

East Dundee, IL

Past

September 14, 2020 - December 6, 2021

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

EAST DUNDEE, IL

Past

September 14, 2020 - December 6, 2021

NATIONAL SECURITIES CORPORATION

CRD#: 7569

EAST DUNDEE, IL

Past

January 11, 2010 - September 23, 2020

FSIC

RIA

CRD#: 37813

EAST DUNDEE, IL

Past

January 4, 2010 - September 23, 2020

FSIC

CRD#: 37813

EAST DUNDEE, IL

Past

December 3, 2009 - January 5, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

EAST DUNDEE, IL

Past

December 2, 2009 - January 5, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

EAST DUNDEE, IL

Past

August 27, 2004 - November 25, 2009

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

EAST DUNDEE, IL

Past

April 4, 2003 - November 25, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

EAST DUNDEE, IL

Past

May 20, 2002 - April 29, 2003

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

EAST DUNDEE, IL

Past

September 6, 2000 - April 29, 2003

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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.

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

Arizona
(1/11/2022)

California
(10/6/2023)

Florida
(12/22/2021)

IAR

Illinois
(12/7/2021)

Illinois
(1/10/2022)

Indiana
(10/5/2022)

Kansas
(1/5/2023)

Michigan
(10/4/2023)

Nevada
(12/20/2021)

South Carolina
(4/4/2022)

Tennessee
(10/6/2022)

IAR

Texas
(12/9/2021)

Texas
(12/13/2021)

Wisconsin
(12/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/3/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASSURED ADVISORY GROUP, LLC

ASSURED ADVISORY GROUP, LLC | ASSURED CONCEPTS GROUP LTD.

CRD#: 316449 / SEC#:

Illinois

Registered Investment Advisory firm - (12/7/2021 Approved)

Texas

Registered Investment Advisory firm - (12/8/2021 Approved)

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Contact information

Main Address

1141 East Main Street Suite 215, East Dundee, IL 60118-2440

Mailing Address

Phone number

(847) 426-1077

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	308
AUM (Assets Under Management)	$ 85,567,060

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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Firm Stability Insights

David M. Schlossberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Schlossberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

FSIC

FSIC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/3/2002

Series 63

Date: 8/10/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/25/2002

Series 6

Date: 8/10/2000

FINRA

Current Firm

ASSURED ADVISORY GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASSURED ADVISORY GROUP, LLC

TRUST BUT VERIFY

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