David Efrem Warshaw
CFP®, ChFC®, CLU®Professional Summary
David Efrem Warshaw, CFP®, ChFC®, CLU® is a registered financial advisor currently at THE WEALTHPLAN LLC located in Great Neck, New York. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. David has worked at 6 firms and has passed the Series 66, SIE 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
There are no additional aliases reported.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Credentials
Years of Experience
23 years in the financial services industry
Current & Past Employments
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current Firm
THE WEALTHPLAN FL LLC | THE WEALTHPLAN LLC
Contact Information
Main Address
60 Cutter Mill Road Suite 100-g, Great Neck, NY 11021Phone Number
(516) 400-7111# of Employees
1SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
356AUM (Assets Under Management)
$87,476,559Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
THE WEALTHPLAN FL LLC | THE WEALTHPLAN LLC
State Registrations and Notice Filings
(12/7/2020)
(7/20/2023)
(11/22/2021)
(11/16/2020)
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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRS (Client Relationship Summary) - RIA
Click below to view David Efrem Warshaw's CRS (Customer Relationship Summary).
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
