David C. Saalfrank
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 Clifford Saalfrank SR, who also goes by David Clifford Saalfrank, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1964. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 000, Series 1, Series 4, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2014 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 25, 2014 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 2, 2007 - July 25, 2014
RAYMOND JAMES & ASSOCIATES, INC.
March 2, 2007 - July 25, 2014
RAYMOND JAMES & ASSOCIATES, INC.
April 6, 2000 - March 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - March 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 10, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 5, 1992 - November 6, 1998
ADVEST, INC.
June 7, 1991 - June 3, 1992
UBS FINANCIAL SERVICES INC.
July 29, 1980 - June 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 16, 1979 - August 3, 1980
FINANCIAL SQUARE PARTNERS
September 12, 1978 - March 25, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 1964 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationSeries 5
Date: 1/25/1984
Interest Rate Options ExaminationSeries 000
Date: 6/5/1964
General Securities Principal ExaminationSeries 1
Date: 6/5/1964
Registered Representative ExaminationSeries 00
Date: 6/7/1971
General Securities Principal ExaminationSeries 12
Date: 5/27/1971
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
