AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DG

David Gassman

NATIONAL FINANCIAL SERVICES
Jersey City, NJ 07310
Some features on this profile are disabled
CRD#: 3070999
DG

Professional summary

David Gassman, who also goes by David S Gassman, David Sean Gassman, David Gassman, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.

David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David S Gassman | David Sean Gassman | David Gassman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Gassman'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®
None

Experience

Current

May 14, 2026 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 499 Washington Blvd, Jersey City, NJ 07310
BD
CRD#: 13041
Jersey City, NJ
Past

November 30, 2023 - March 23, 2026

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Greenwich, CT
Past

August 12, 2022 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
Greenwich, CT
Past

March 27, 2019 - August 2, 2022

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

October 11, 2011 - April 17, 2019

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
JERSEY CITY, NJ
Past

August 18, 2008 - October 2, 2009

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY

State Registrations and Notice Filings

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

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
Kentucky
(5/14/2026)
RR
New Jersey
(5/14/2026)
RR
New York
(5/14/2026)
RR
Rhode Island
(5/14/2026)
RR
Texas
(5/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/20/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041 / SEC#: 801-50706, 8-26740

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Loading...

Contact information

Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,100

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.SOLE MEMBER
ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGER1291582
CRUPI, KAREN MICHELECHIEF LEGAL OFFICER2982229
DYER, JANET MARIECHIEF COMPLIANCE OFFICER3186352
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
TESAURO, THOMAS JOHNELECTED MANAGER1862532
TESAURO, THOMAS JOHNPRESIDENT1862532

Disclosures

Regulatory Event47
Civil Event1
Arbitration14

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

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041Jersey City, NJ 07310

TRUST BUT VERIFY

Monitor David Gassman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Sungmin Park
Sungmin ParkAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Florham Park, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.