David F. Fernandes

ZENITH INVESTMENT MANAGEMENT

Longmeadow, MA 01106

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CRD#: 5727745

Professional summary

David Frank Fernandes is a registered financial advisor currently at ZENITH INVESTMENT MANAGEMENT, LLC located in Longmeadow, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. David has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Frank Fernandes'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 12, 2021 - Present

ZENITH INVESTMENT MANAGEMENT, LLC

Office #1: 734 Longmeadow Street Suite 301, Longmeadow, MA 01106

RIA

CRD#: 288565

Longmeadow, MA

Past

February 27, 2018 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

EAST LONGMEADOW, MA

Past

February 26, 2018 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

EAST LONGMEADOW, MA

Past

February 26, 2018 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

EAST LONGMEADOW, MA

Past

February 6, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

December 9, 2013 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

EAST LONGMEADOW, MA

Past

May 7, 2013 - August 30, 2013

NEW ENGLAND SECURITIES

CRD#: 615

BLOOMFIELD, CT

Past

May 7, 2013 - August 30, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

BLOOMFIELD, CT

Past

August 30, 2011 - September 12, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

HARTFORD, CT

Past

November 9, 2009 - July 8, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

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

Connecticut
(12/5/2023)

IAR

Massachusetts
(3/12/2021)

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

State Security Law Exam

IAR

Series 66

Date: 1/27/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/14/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ZENITH INVESTMENT MANAGEMENT, LLC

CRD#: 288565 / SEC#:

Arizona

Registered Investment Advisory firm - (8/11/2023 Approved)

California

Registered Investment Advisory firm - (5/31/2017 Approved)

Colorado

Registered Investment Advisory firm - (3/12/2021 Approved)

Connecticut

Registered Investment Advisory firm - (12/5/2023 Approved)

Massachusetts

Registered Investment Advisory firm - (3/12/2021 Approved)

Missouri

Registered Investment Advisory firm - (5/13/2025 Terminated)

Washington

Registered Investment Advisory firm - (9/29/2024 Terminated)

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

7702 E Doubletree Ranch Rd. #300, Scottsdale, AZ 85258

Mailing Address

Phone number

(858) 716-8500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	318
AUM (Assets Under Management)	$ 89,013,761

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

David F. Fernandes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Frank Fernandes's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

NEW ENGLAND SECURITIES

METLIFE INVESTORS DISTRIBUTION COMPANY

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

VOYA FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2017

Series 63

Date: 9/14/2011

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2013

Series 6

Date: 11/6/2009

Current Firm

ZENITH INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ZENITH INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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