David B. Gelfman
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 Brett Gelfman, who also goes by David Gelfman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 63, Series 65, 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
December 10, 2010 - August 23, 2013
E1 ASSET MANAGEMENT, INC.
April 13, 2007 - March 7, 2008
MADISON PROPRIETARY TRADING GROUP, LLC
April 11, 2003 - October 28, 2004
E1 ASSET MANAGEMENT, INC.
September 18, 2000 - May 6, 2003
PHD CAPITAL
January 25, 2000 - September 20, 2000
JOSEPHTHAL & CO., INC.
May 20, 1999 - May 26, 1999
WHITEHALL WELLINGTON INVESTMENTS, INC.
May 20, 1999 - January 27, 2000
CIBC WORLD MARKETS CORP.
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
E1 ASSET MANAGEMENT, INC.
CRD#: 46872 / SEC#: , 8-51573
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITIN, RON YEHUDA | PRESIDENT/DIRECTOR/CCO/FINOP | 2344151 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
