David J. Merkel

ALEPH INVESTMENTS

Ellicott City, MD

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CRD#: 5517052

Professional summary

David Joseph Merkel is a registered financial advisor currently at ALEPH INVESTMENTS, LLC located in Ellicott City, Maryland.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. David has worked at 2 firms and has passed the Series 86 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.

MR. MERKEL MAINTAINS HTTP://ALEPHBLOG.COM, AS AN OUTSIDE BUSINESS AWAY FROM ALEPH INVESTMENTS. STARTED 2/2007. SITE PROVIDES EDUCATION TO INVESTORS. SITE PROVIDES DICLOSURE THAT THE BLOG HAS NO AFFLIATION WITH FINACORP SECURITIES. DAVID DEVOTES 12 HOURS A WEEK TO UPKEEP. INCOME IS MINIMAL UNDER $1000 PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Merkel's 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®

None

Experience

Current

March 3, 2011 - Present

ALEPH INVESTMENTS, LLC

RIA

CRD#: 155404

Ellicott City, MD

Past

October 3, 2008 - June 4, 2010

FINACORP SECURITIES

CRD#: 41569

IRVINE, CA

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

California
(11/6/2014)

IAR

Maryland
(10/8/2014)

IAR

Texas
(3/3/2011)

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

General Industry/Product Exam

Series 86

Date: 5/25/2010

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 10/2/2008

General Securities Representative Examination

Current Firm

ALEPH INVESTMENTS, LLC

CRD#: 155404 / SEC#:

California

Registered Investment Advisory firm - (11/6/2014 Approved)

Maryland

Registered Investment Advisory firm - (10/25/2010 Approved)

Texas

Registered Investment Advisory firm - (3/3/2011 Approved)

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Contact information

Main Address

Ellicott City, MD

Mailing Address

Phone number

(410) 750-7894

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 15,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David J. Merkel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Merkel's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEPH INVESTMENTS, LLC

FINACORP SECURITIES

State Registrations and Notice Filings

Exams

Series 86

Date: 5/25/2010

Series 7

Date: 10/2/2008

Current Firm

ALEPH INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALEPH INVESTMENTS, LLC

TRUST BUT VERIFY

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