David M. Shantz
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 M Shantz, who also goes by Jeffery David Makant, David Makant Shantz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 8 firms and has passed the Series 66, SIE 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
January 29, 2014 - February 5, 2015
FORESIDE FUND SERVICES, LLC
July 19, 2012 - April 11, 2013
NEW ENGLAND SECURITIES
May 24, 2012 - April 11, 2013
NEW ENGLAND SECURITIES
February 4, 2011 - January 9, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
January 6, 2011 - January 9, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 2009 - September 15, 2010
BLACK OAK WEALTH MANAGEMENT, LLC
September 5, 2008 - January 12, 2009
TD AMERITRADE, INC.
September 5, 2008 - January 12, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 4, 2008 - January 12, 2009
TD AMERITRADE, INC.
June 19, 2006 - April 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2006 - April 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2003 - June 9, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 11, 2002 - June 9, 2006
IDS LIFE INSURANCE COMPANY
July 11, 2002 - June 9, 2006
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
