David E. Warshaw

THE WEALTHPLAN LLC

Great Neck, NY 11021

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CRD#: 4702122

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.

Question & Answer

Are you a "fiduciary"?

Yes

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.

WealthPlan Risk Management LLC, Insurance Agent: Not Investment-Related; 3113 Stirling Road, Suite 201, Fort Lauderdale FL: Life insurance, fixed annuities, and other fixed insurance sales; Agent; 10/1/2003; 5% of his time during trading hours; fixed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Efrem Warshaw's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2016

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 16, 2020 - Present

THE WEALTHPLAN LLC

Office #1: 60 Cutter Mill Road Suite 100-g, Great Neck, NY 11021

RIA

CRD#: 306820

Great Neck, NY

Past

March 9, 2018 - March 13, 2020

BLUEPRINT WEALTH ALLIANCE, LLC

RIA

CRD#: 284167

GARDEN CITY, NY

Past

October 27, 2010 - January 17, 2017

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

October 26, 2010 - January 17, 2017

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Roslyn, NY

Past

October 31, 2003 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 31, 2003 - October 27, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MITCHEL FIELD, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE WEALTHPLAN LLC

THE WEALTHPLAN FL LLC | THE WEALTHPLAN LLC

CRD#: 306820 / SEC#: 801-130235

RIA

Registered Investment Advisory firm - (5/9/2024 Approved)

Florida

Registered Investment Advisory firm - (5/29/2024 Terminated)

New York

Registered Investment Advisory firm - (5/29/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/7/2020)

IAR

New Jersey
(7/20/2023)

IAR

New York
(11/22/2021)

IAR

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 11/20/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/2003

General Securities Representative Examination

Current Firm

THE WEALTHPLAN LLC

THE WEALTHPLAN FL LLC | THE WEALTHPLAN LLC

CRD#: 306820 / SEC#: 801-130235

RIA

Registered Investment Advisory firm - (5/9/2024 Approved)

Florida

Registered Investment Advisory firm - (5/29/2024 Terminated)

New York

Registered Investment Advisory firm - (5/29/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2024 Terminated)

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Contact information

Main Address

60 Cutter Mill Road Suite 100-g, Great Neck, NY 11021

Mailing Address

Phone number

(516) 400-7111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV (9/3/2025)

Regulatory assets under management

Total Number of Accounts	365
AUM (Assets Under Management)	$ 73,838,864

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.

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Advisor Monitoring

Firm Stability Insights

David E. Warshaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Efrem Warshaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUEPRINT WEALTH ALLIANCE, LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THE WEALTHPLAN LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2003

SIE

Date: 1/17/2017

Series 7

Date: 10/30/2003

Current Firm

THE WEALTHPLAN LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE WEALTHPLAN LLC

TRUST BUT VERIFY

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