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David F. Cortes

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CRD#: 4381874
DC

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 Fernando Cortes, who also goes by David Cortes, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2002. David had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Cortes

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

August 5, 2016 - December 31, 2016

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
New York, NY
Past

July 1, 2013 - August 8, 2014

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

April 9, 2012 - April 19, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

January 20, 2012 - April 10, 2012

GLOBAL OAK CAPITAL MARKETS LLC

BD
CRD#: 125860
NEW YORK, N.Y. 10022, NY
Past

July 13, 2009 - January 4, 2010

AURIGA USA, LLC

BD
CRD#: 121731
NEW YORK, NY
Past

December 26, 2008 - March 27, 2009

PLANNER SECURITIES LLC

BD
CRD#: 36866
NEW YORK, NY
Past

November 30, 2006 - February 29, 2008

BULLTICK, LLC

BD
CRD#: 104005
MIAMI, FL
Past

October 7, 2005 - August 4, 2006

ATLAS ONE FINANCIAL GROUP, LLC

BD
CRD#: 124057
MIAMI, FL
Past

December 9, 2002 - November 7, 2005

ITAU BBA USA SECURITIES, INC.

BD
CRD#: 118817
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".
INSIGHT SECURITIES, INC.
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2002
General Securities Representative Examination

Current Firm

INSIGHT SECURITIES, INC.
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
600 Central Ave Suite 293, Highland Park, IL 60035
Mailing Address
600 Central Ave Suite 293, Highland Park, IL 60035
Phone number
(224) 632-4700
Established
Delaware since 11/12/1970
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
25

SEC notice filing (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
INTELLIGENICS, INC.HOLDING COMPANY/STOCKHOLDER
GAAFAR, OMAR JAMESCOO4916775
KIM, JAMES JCCO6040592
LEGASPY, CARLOS JAVIERPRINCIPAL, PRESIDENT, CEO2148751
MAKULA, MICHAEL JOSEPH MR.CFO, FINOP4643441

Regulatory assets under management

Total Number of Accounts48
AUM (Assets Under Management)$ 94,216,934

Disclosures

Regulatory Event6
Arbitration1
Bond5

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

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

CRD#: 5611

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