David Mitchel Gallers
Professional Summary
David Mitchel Gallers, who also goes by David M. Gallers, David Mitchel Gallers, is a registered financial advisor currently at WEALTHSPRING CAPITAL LLC located in West Harrison, New York. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David M. Gallers, David Mitchel Gallers
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
WEALTHSPRING CAPITAL LLC
Contact Information
Main Address
2 Westchester Park Drive Suite 108, West Harrison, NY 10604Phone Number
(914) 419-2207# of Employees
5SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
134AUM (Assets Under Management)
$514,983,003Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
WEALTHSPRING CAPITAL LLC
State Registrations and Notice Filings
(7/13/2021)
(5/6/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2003Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David Mitchel Gallers's CRS (Customer Relationship Summary).
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