David M. Marks

VALLEY WEALTH MANAGERS

Morristown, NJ 07670

Some features on this profile are disabled

CRD#: 5576897

Professional summary

David M Marks, who also goes by David Marks, is a registered financial advisor currently at VALLEY WEALTH MANAGERS, INC. located in Morristown, New Jersey and VALLEY FINANCIAL MANAGEMENT, INC. located in Morristown, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. David has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Marks

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.

1.) Popular Bank. Banking. Yes, investment related. Started April 2019.Private Banker. Approx 160 hours per month. approx 136 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David M Marks's CRS (Customer Relationship Summary).

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

September 5, 2024 - Present

VALLEY WEALTH MANAGERS, INC.

Office #1: 70 Speedwell Ave, Morristown, NJ 07670

RIA

CRD#: 108879

Morristown, NJ

Current

September 4, 2024 - Present

VALLEY FINANCIAL MANAGEMENT, INC.

Office #1: 70 Speedwell Avenue, Morristown, NJ 07960

RIA

CRD#: 105387

Morristown, NJ

Past

May 2, 2019 - August 22, 2024

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

NEWARK, NJ

Past

May 1, 2019 - August 22, 2024

OSAIC INSTITUTIONS, INC.

CRD#: 35371

NEWARK, NJ

Past

November 7, 2016 - May 15, 2019

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

September 26, 2016 - May 15, 2019

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 1, 2012 - July 26, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 10, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

February 26, 2009 - May 22, 2009

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 Approved)

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.

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

California
(9/4/2024)

Connecticut
(9/4/2024)

Florida
(9/4/2024)

Illinois
(9/4/2024)

New Jersey
(9/4/2024)

IAR

New Jersey
(9/5/2024)

New York
(9/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/25/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 Approved)

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

80 East Ridgewood Ave Suite 3, Paramus, NJ 07652

Mailing Address

Phone number

(888) 794-7940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VWM FORM ADV PART 2A (3/28/2025)

VWM WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,957
AUM (Assets Under Management)	$ 2,317,257,859

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
09/07/2023	Cover Page	Report
10/04/2022	Cover Page	Report

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David M. Marks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David M Marks's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALLEY FINANCIAL MANAGEMENT, INC.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

G-2 TRADING,LLC

Primary Firm SEC Registration

VALLEY WEALTH MANAGERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2016

Series 63

Date: 6/16/2009

SIE

Date: 10/1/2018

Series 7

Date: 2/25/2009

FINRA

Current Firm

VALLEY WEALTH MANAGERS, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VALLEY WEALTH MANAGERS, INC.

TRUST BUT VERIFY

Similar Advisors