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DF

David M. Farber

BROAD STREET CAPITAL MARKETS
Maitland, FL 32751
Some features on this profile are disabled
CRD#: 3181573
DF

Professional summary

David Michael Farber is a registered financial professional currently at BROAD STREET CAPITAL MARKETS, LLC located in Maitland, Florida.

David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 8 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Michael Farber's CRS (Customer Relationship Summary).
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

December 21, 2019 - Present

BROAD STREET CAPITAL MARKETS, LLC

Office #1: 500 North Maitland Ave, Maitland, FL 32751
BD
CRD#: 104026
Maitland, FL
Past

July 14, 2015 - January 16, 2020

BMA SECURITIES, LLC

BD
CRD#: 108219
Maitland, FL
Past

October 2, 2014 - July 14, 2015

HIGH POINT CAPITAL GROUP, INC.

BD
CRD#: 25667
COCOA, FL
Past

July 9, 2012 - September 15, 2014

DELANEY EQUITY GROUP LLC

BD
CRD#: 142285
MAITLAND, FL
Past

April 6, 2011 - August 2, 2012

ASCENDIANT CAPITAL MARKETS, LLC

BD
CRD#: 152912
MAITLAND, FL
Past

November 24, 2010 - April 6, 2011

BMA SECURITIES, LLC

BD
CRD#: 108219
MAITLAND, FL
Past

July 2, 2009 - November 19, 2010

SEABOARD SECURITIES, INC.

BD
CRD#: 755
MAITLAND, FL
Past

October 1, 2001 - July 2, 2009

PARK FINANCIAL GROUP, INC.

BD
CRD#: 30582
MAITLAND, FL
Past

July 6, 2000 - October 1, 2001

NORTH AMERICAN CLEARING, INC.

BD
CRD#: 39118
LONGWOOD, FL

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
Florida
(2/13/2020)
RR
New Jersey
(3/13/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/21/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/11/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/5/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROAD STREET CAPITAL MARKETS, LLC
AMERICAN DIVERSIFIED FINANCIAL GROUP LLC | BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026 / SEC#: , 8-52487

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Mailing Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Phone number
(862) 367-9930
Established
Indiana since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BERGEN CAPITAL ADVISORS, LLCOWNER
ADDERLY, ANDREW GENECEO/CHIEF COMPLIANCE OFFICER4388648
RANKEL, WILLIAM EDWINFINOP/CFO2074785

Disclosures

Regulatory Event1

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

BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026Maitland, FL 32751

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