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David J. Volk

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CRD#: 4393759
DV

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 James Volk was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2001. David had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

February 8, 2005 - December 5, 2014

CASTLE CREEK FINANCIAL LLC

BD
CRD#: 39063
RANCHO SANTA FE, CA
Past

June 20, 2001 - June 3, 2003

GIULIANI CAPITAL ADVISORS LLC

BD
CRD#: 111140
CHICAGO, IL

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: 5/21/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/2001
General Securities Representative Examination

Current Firm

CC
CASTLE CREEK FINANCIAL LLC
BELLE PLAINE FINANCIAL LLC | CASTLE CREEK FINANCIAL LLC | BELLE PLAINE FINANCIAL, L.L.C.

CRD#: 39063 / SEC#: , 8-48686

BD
Terminated by SEC on 12/30/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/21/1995
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EGGEMEYER CORP.MEMBER
WJR ADVISORY CORP.MEMBER
LEGIONS IV CORP.MEMBER
EGGEMEYER, JOHN MATTHEW IIIPRESIDENT1735610
MERLO, MARK GERARDSENIOR VICE PRESIDENT2408890
RUH, WILLIAM JOHNCHIEF COMPLIANCE OFFICER2652681
RUH, WILLIAM JOHNEXECUTIVE VICE PRESIDENT2652681

Disclosures

Regulatory Event1

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

CASTLE CREEK FINANCIAL LLC

CRD#: 39063

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