David A. Katzoff

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CRD#: 4316042

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 Aaron Katzoff was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2001. David had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2017 - August 9, 2018

PRISM ADVISORS, INC.

RIA

CRD#: 286474

STUDIO CITY, CA

Past

August 8, 2011 - May 2, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

STUDIO CITY, CA

Past

August 8, 2011 - May 2, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

STUDIO CITY, CA

Past

June 9, 2009 - June 21, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

LOS ANGELES, CA

Past

June 5, 2009 - June 21, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

LOS ANGELES, CA

Past

January 1, 2008 - March 3, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREAT BARRINGTON, MA

Past

December 19, 2005 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

GREAT BARRINGTON, MA

Past

December 15, 2003 - August 13, 2004

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

TORRANCE, CA

Past

October 13, 2003 - August 13, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

March 8, 2001 - October 4, 2001

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRISM ADVISORS, INC.

PERSONAL RESOURCES INVESTMENT AND STRATEGIC MANAGEMENT, INC. | PRISM ADVISORS, INC.

CRD#: 286474 / SEC#: 801-110196

RIA

Registered Investment Advisory firm - (3/31/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 12/12/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/9/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2001

General Securities Representative Examination

Current Firm

PRISM ADVISORS, INC.

PERSONAL RESOURCES INVESTMENT AND STRATEGIC MANAGEMENT, INC. | PRISM ADVISORS, INC.

CRD#: 286474 / SEC#: 801-110196

RIA

Registered Investment Advisory firm - (3/31/2017 Approved)

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Contact information

Main Address

4361 Tujunga Avenue Suite A, Studio City, CA 91604

Mailing Address

Phone number

(818) 760-3333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - WRAP BROCHURE - PRISM ADVISORS, INC. (3/14/2025)

FORM ADV PART 2A - FIRM BROCHURE - PRISM ADVISORS, INC. (3/14/2025)

Regulatory assets under management

Total Number of Accounts	697
AUM (Assets Under Management)	$ 462,030,853

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.

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Advisor Monitoring

Firm Stability Insights

David A. Katzoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WEATHERLY SECURITIES CORPORATION

Primary Firm SEC Registration

PRISM ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2003

Series 63

Date: 4/9/2001

SIE

Date: 5/2/2017

Series 7

Date: 3/7/2001

Current Firm

PRISM ADVISORS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRISM ADVISORS, INC.

TRUST BUT VERIFY

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