DE
David A. Ettenger
FORESIDE FINANCIAL SERVICES
Denver, CO 80206
Some features on this profile are disabled
CRD#: 5559020
DE
Professional summary
David Andrew Ettenger, who also goes by David Ettenger, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Denver, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Ettenger
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.
CRS (Client Relationship Summary) - BD
Click below to view David Andrew Ettenger'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®
NoneExperience
Current
July 21, 2020 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 205 Detroit Street Suite 800, Denver, CO 80206BD
CRD#: 148477
Denver, CO
Past
April 22, 2010 - May 5, 2014
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN FRANCISCO, CA
Past
April 2, 2009 - April 5, 2010
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
NEW YORK, NY
Past
August 13, 2008 - April 3, 2009
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2021)
RR
Alaska(1/7/2021)
RR
Arizona(1/17/2021)
RR
Arkansas(1/6/2021)
RR
California(8/17/2020)
RR
Colorado(8/18/2020)
RR
Connecticut(1/5/2021)
RR
Delaware(1/7/2021)
RR
District of Columbia(1/6/2021)
RR
Florida(1/6/2021)
RR
Georgia(1/6/2021)
RR
Hawaii(1/6/2021)
RR
Idaho(1/13/2021)
RR
Illinois(1/21/2021)
RR
Indiana(1/6/2021)
RR
Iowa(1/21/2021)
RR
Kansas(3/16/2021)
RR
Kentucky(1/6/2021)
RR
Louisiana(1/7/2021)
RR
Maine(1/6/2021)
RR
Maryland(1/6/2021)
RR
Massachusetts(1/6/2021)
RR
Michigan(1/7/2021)
RR
Minnesota(1/6/2021)
RR
Mississippi(1/5/2021)
RR
Missouri(1/6/2021)
RR
Montana(1/5/2021)
RR
Nebraska(3/16/2021)
RR
Nevada(1/20/2021)
RR
New Hampshire(1/5/2021)
RR
New Jersey(1/25/2021)
RR
New Mexico(1/6/2021)
RR
New York(1/5/2021)
RR
North Carolina(1/6/2021)
RR
North Dakota(1/12/2021)
RR
Ohio(1/6/2021)
RR
Oklahoma(1/7/2021)
RR
Oregon(1/15/2021)
RR
Pennsylvania(1/6/2021)
RR
Puerto Rico(1/20/2021)
RR
Rhode Island(1/6/2021)
RR
South Carolina(1/6/2021)
RR
South Dakota(1/12/2021)
RR
Tennessee(1/6/2021)
RR
Texas(1/8/2021)
RR
Utah(1/8/2021)
RR
Vermont(1/5/2021)
RR
Virgin Islands(1/7/2021)
RR
Virginia(1/7/2021)
RR
Washington(1/5/2021)
RR
West Virginia(3/11/2021)
RR
Wisconsin(1/7/2021)
RR
Wyoming(1/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC
CRD#: 148477 / SEC#: , 8-68027
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
