David A. Wertentheil
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 Alexander Wertentheil was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 5 firms and has passed the Series 63, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2009 - October 22, 2012
FM PARTNERS HOLDINGS LLC
February 29, 2008 - May 8, 2009
RBC CAPITAL MARKETS, LLC
January 2, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 22, 2004 - January 2, 2007
CARLIN EQUITIES, LLC
August 3, 2001 - June 27, 2002
RUMSON CAPITAL, LLC
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
Series 55
Date: 7/25/2006
Limited Representative-Equity Trader ExamCurrent Firm
FM PARTNERS HOLDINGS LLC
CRD#: 134736 / SEC#: , 8-66861
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMDC HOLDINGS LLC | MANAGING MEMBER | |
| ROSENBERG, WILLIAM BRUCE | CEO, CFO, COO, CCO | 1722850 |
Disclosures
| Regulatory Event | 15 |
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.
