David P. Petruzzi
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 P Petruzzi, who also goes by Dave Petruzzi, David Petruzzi, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2019 - January 29, 2021
LIFEMARK SECURITIES CORP.
May 25, 2018 - December 31, 2018
FOREST SECURITIES,INC.
April 28, 2015 - November 2, 2017
THE LEADERS GROUP, INC.
November 16, 2009 - February 3, 2010
BROOKLIGHT PLACE SECURITIES, INC.
March 27, 2007 - January 9, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
