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DW

David J. Walkush

BREAKWATER INVESTMENT GROUP
NEWPORT BEACH, CA 92660
Some features on this profile are disabled
CRD#: 4138083
DW

Professional summary

David Jerome Walkush, who also goes by David J Walkush, is a registered financial advisor currently at BREAKWATER INVESTMENT GROUP, LLC located in Newport Beach, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David J Walkush

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) - RIA

Click below to view David Jerome Walkush'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 2, 2013 - Present

BREAKWATER INVESTMENT GROUP, LLC

Office #1: 895 Dove Street Suite 300, Newport Beach, CA 92660
RIA
CRD#: 128747
NEWPORT BEACH, CA
Past

June 14, 2006 - December 31, 2007

ACCLARO ADVISORS

RIA
CRD#: 139998
EVERETT, WA
Past

April 18, 2005 - June 24, 2005

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

April 15, 2003 - October 7, 2003

M.L. STERN & CO., LLC.

BD
CRD#: 8327
BEVERLY HILLS, CA
Past

December 12, 2001 - April 7, 2003

SYNDICATED CAPITAL, INC.

BD
CRD#: 29037
DIAMOND BAR, CA
Past

March 17, 2000 - October 22, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR
California
(5/2/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/21/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/2000
General Securities Representative Examination

Current Firm

BI
BREAKWATER INVESTMENT GROUP, LLC
BREAKWATER INVESTMENT GROUP | BREAKWATER INVESTMENT GROUP, LLC

CRD#: 128747 / SEC#:

California
Registered Investment Advisory firm - (7/15/2004 Approved)
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Contact information

Main Address
Newport Beach, CA
Mailing Address
Phone number
(949) 812-6945
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts53
AUM (Assets Under Management)$ 61,913,551

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

BREAKWATER INVESTMENT GROUP, LLC

CRD#: 128747Newport Beach, CA 92660

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