David Belikov
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 Belikov, who also goes by Dave Belikov, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2017 - February 12, 2018
VALLEY FINANCIAL MANAGEMENT, INC.
September 15, 2017 - February 12, 2018
VALLEY FINANCIAL MANAGEMENT, INC.
July 11, 2017 - September 19, 2017
HSBC SECURITIES (USA) INC.
July 11, 2017 - September 19, 2017
HSBC SECURITIES (USA) INC.
August 29, 2013 - November 20, 2015
TD PRIVATE CLIENT WEALTH LLC
August 29, 2013 - November 20, 2015
TD PRIVATE CLIENT WEALTH LLC
August 6, 2008 - August 22, 2013
HSBC SECURITIES (USA) INC.
August 6, 2008 - August 22, 2013
HSBC SECURITIES (USA) INC.
July 20, 2007 - July 18, 2008
CETERA FINANCIAL SPECIALISTS LLC
July 16, 2007 - July 18, 2008
CETERA INVESTMENT ADVISERS LLC
March 1, 2005 - July 29, 2005
CHASE INVESTMENT SERVICES CORP.
March 1, 2005 - July 29, 2005
CHASE INVESTMENT SERVICES CORP.
December 13, 2004 - January 12, 2005
OSAIC WEALTH, INC.
December 10, 2004 - January 12, 2005
OSAIC WEALTH, INC.
July 3, 2003 - November 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 2003 - November 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2002 - June 30, 2003
MORGAN STANLEY DW INC.
July 1, 2002 - June 30, 2003
MORGAN STANLEY DW INC.
December 7, 2001 - April 25, 2002
JOSEPH GUNNAR & CO. LLC
May 3, 2001 - November 19, 2001
PRIME CHARTER LTD.
April 4, 2001 - April 27, 2001
EASTBROOK CAPITAL GROUP LLC
Primary Firm SEC Registration
VALLEY FINANCIAL MANAGEMENT, INC.
CRD#: 105387 / SEC#: 801-113685, 8-52993
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
Current Firm
VALLEY FINANCIAL MANAGEMENT, INC.
CRD#: 105387 / SEC#: 801-113685, 8-52993
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALLEY NATIONAL BANK | DIRECT PARENT OF APPLICANT | |
| CHITTENDEN, KEVIN L. | DIRECTOR | 8047906 |
| COLLERAN, JOSEPH ARTHUR III | PRESIDENT / CEO | 1010582 |
| GAWLEY, CHRISTOPHER JON | GENERAL COUNSEL | 4997190 |
| LAN, TRAVIS | DIRECTOR | 5190958 |
| MAYO, JAMIE | CHIEF FINANCIAL OFFICER | 3113603 |
| SCHULTZ, MELISSA JOSEPH | CHAIRPERSON | 1155034 |
| WILSON, CHRISTOPHER MICHAEL | CHIEF COMPLIANCE OFFICER | 5163915 |
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 55,000 |
Disclosures
| Regulatory Event | 5 |
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.
