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DB

David C. Byrnes

Some features on this profile are disabled
CRD#: 5159099
DB

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 Carthage Byrnes, who also goes by David Carthage Byrnes III, David Byrnes, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2006. David had worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 34, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Carthage Byrnes Iii | David Byrnes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 10, 2022 - December 19, 2022

WALLACHBETH CAPITAL LLC

BD
CRD#: 147853
BOCA RATON, FL
Past

April 14, 2021 - October 15, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL
Past

August 27, 2020 - March 5, 2021

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
TAMPA, FL
Past

August 24, 2020 - March 5, 2021

IFP SECURITIES, LLC

BD
CRD#: 297287
TAMPA, FL
Past

February 28, 2020 - August 24, 2020

VISION INVESTMENT ADVISORS, LLC

RIA
CRD#: 109621
Miami, FL
Past

May 26, 2017 - August 21, 2020

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
MIAMI, FL
Past

November 10, 2016 - May 30, 2017

GAR WOOD SECURITIES, LLC

BD
CRD#: 138033
NAPERVILLE, IL
Past

January 11, 2016 - October 24, 2016

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
Miami, FL
Past

October 29, 2014 - January 8, 2016

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL
Past

June 12, 2006 - August 3, 2006

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/10/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/12/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 3/7/2022
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 12/29/2014
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 12/15/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/2014
General Securities Representative Examination

Current Firm

WC
WALLACHBETH CAPITAL LLC
WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Phone number
(646) 237-8585
Established
New York since 05/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALLACHBETH HOLDINGS LLC95% OWNER
SAGO MANAGEMENT, LLC5% OWNER
BETH, DAVID JAYCOO/PRESIDENT/ MANAGING MEMBER2470494
OH, SEUNG CHEOLCFO, FNOP4632040
SCHWEITZER, ERIC BRUCECHIEF COMPLIANCE OFFICER1036891
WALLACH, MICHAEL CONRADCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2376092

Disclosures

Regulatory Event2

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.

Company Information

WALLACHBETH CAPITAL LLC

CRD#: 147853

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