David J. Funes

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CRD#: 5467419

Professional summary

David John Funes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial advisor and started their career in finance in 2008. Prior to being barred, David had worked at 4 firms, which includes REALIZED FINANCIAL INC., WEALTHFORGE SECURITIES LLC, STRATEGIC ADVISERS LLC, FIDELITY BROKERAGE SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

David J Funes

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

November 1, 2019 - February 17, 2023

REALIZED FINANCIAL, INC.

CRD#: 22333

Austin, TX

Past

January 29, 2018 - October 31, 2019

WEALTHFORGE SECURITIES, LLC

CRD#: 152550

Austin, TX

Past

May 10, 2010 - August 18, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

JACKSONVILLE, FL

Past

February 5, 2008 - August 14, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

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

Series 63

Date: 2/8/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/8/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 1/29/2018

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 7

Date: 2/4/2008

General Securities Representative Examination

Current Firm

REALIZED FINANCIAL, INC.

REALIZED FINANCAL, INC. | THORNHILL SECURITIES, INC. | THORNHILL BROKERAGE, INC. | REALIZED FINANCIAL, INC.

CRD#: 22333 / SEC#: 801-70703, 8-39659

RIA

Registered Investment Advisory firm - SEC (3/25/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/27/2014 Approved)

Texas

Registered Investment Advisory firm - SEC (6/6/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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).

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Contact information

Main Address

500 W. 13th Street, Austin, TX 78701

Mailing Address

500 W. 13th Street, Austin, TX 78701

Phone number

(512) 472-7171

Established

Texas since 03/29/1988

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
REALIZED HOLDINGS INC	CORPORATION
DAHILL, DAVID P	CEO	6581024
DAHILL, DAVID P	FINOP	6581024
ELLIOTT, STEPHANIE NICOLE	CCO	2476636
ELLIOTT, STEPHANIE NICOLE	PRESIDENT	2476636
MEDINA, GABRIEL O	COO	5061047

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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David J. Funes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALIZED FINANCIAL, INC.

WEALTHFORGE SECURITIES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2018

Series 66

Date: 5/8/2010

SIE

Date: 10/1/2018

Series 22

Date: 1/29/2018

Series 7

Date: 2/4/2008

Current Firm

REALIZED FINANCIAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REALIZED FINANCIAL, INC.

TRUST BUT VERIFY

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