David M. Oraschin

MOUNTAIN TOP ADVISORY GROUP

FAR HILLS, NJ 07931

Some features on this profile are disabled

CRD#: 4257176

Professional summary

David Martin Oraschin is a registered financial advisor currently at MOUNTAIN TOP ADVISORY GROUP located in Far Hills, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Mr. Oraschin is also a licensed insurance agent for his firm, Mountain Top Advisory Group, and his insurance activities are conducted from the same office at 191 MAIN STREET, SUITE 200, GLADSTONE, NJ 07934, as both are operated under the same LLC. He spends approximately 4 hours per month of his time working on insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Martin Oraschin'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

July 26, 2019 - Present

MOUNTAIN TOP ADVISORY GROUP

Office #1: 49 Route 202 South Building 1, Suite 6, Far Hills, NJ 07931

RIA

CRD#: 304182

FAR HILLS, NJ

Past

March 9, 2001 - January 12, 2015

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

Past

September 5, 2000 - March 1, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 5, 2000 - March 1, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Arizona
(6/9/2020)

IAR

New Jersey
(7/26/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/2/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/22/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/5/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/1/2000

General Securities Representative Examination

Current Firm

MOUNTAIN TOP ADVISORY GROUP

MOUNTAIN TOP ADVISORY GROUP | MOUNTAIN TOP ADVISORY GROUP, LLC

CRD#: 304182 / SEC#:

Arizona

Registered Investment Advisory firm - (6/9/2020 Approved)

California

Registered Investment Advisory firm - (10/27/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (7/26/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

49 Route 202 South Building 1, Suite 6, Far Hills, NJ 07931

Mailing Address

Po Box 843, Far Hills, NJ 07931

Phone number

(908) 953-8404

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Sungmin Ryan Park

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Florham Park, NJ

Shivam Mittal

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Summit, NJ

Elizabeth Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

IAR

Summit, NJ

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David M. Oraschin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Martin Oraschin's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOUNTAIN TOP ADVISORY GROUP

FIRST NEW YORK SECURITIES L.L.C.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/2019

Series 66

Date: 9/22/2000

SIE

Date: 1/12/2015

Series 55

Date: 6/5/2001

Series 7

Date: 9/1/2000

Current Firm

MOUNTAIN TOP ADVISORY GROUP

Contact information

Documents

Red Flags

Company Information

MOUNTAIN TOP ADVISORY GROUP

TRUST BUT VERIFY

Similar Advisors