David M. Gottlieb

SAVVY

WEST ORANGE, NJ

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CRD#: 5739132

Professional summary

David M Gottlieb, who also goes by David M Gottlieb, David Michael Gottlieb, is a registered financial advisor currently at SAVVY located in West Orange, New Jersey and DAI SECURITIES, LLC located in Atlanta, Georgia.

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 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David M Gottlieb | David Michael Gottlieb

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.

Insurance Referral: Start Date: 05/2019; Approximately 10 Hours/Month. Refer individuals to a licensed Insurance Agent for a commission. Only fixed life insurance policies. Investment Related. Located at 4 Allsop Court, West Orange,New Jersey 07052 Savvy Advisors: Start date 03/2024, Approximately 40 Hours/Week. As as an Investment Advisors Representative for fee based business. Investment Related. Located at 4 Allsop Court, West Orange, NJ 07052. Wealth Retention LLC; Investment Related; West Orange, NJ; DBA/marketing name for financial services; Owner; 7/2024; 20+ hours per month; 20+ during business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David M Gottlieb'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

March 11, 2024 - Present

SAVVY

RIA

CRD#: 318493

WEST ORANGE, NJ

Current

March 25, 2024 - Present

DAI SECURITIES, LLC

Office #1: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345

CRD#: 36673

Atlanta, GA

Past

February 20, 2024 - March 4, 2024

PROSPERITY - AN EISNERAMPER COMPANY

RIA

CRD#: 133777

ISELIN, NJ

Past

May 1, 2023 - March 1, 2024

DAI SECURITIES, LLC

CRD#: 36673

ISELIN, NJ

Past

June 19, 2019 - February 22, 2024

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

RIA

CRD#: 121863

ISELIN, NJ

Past

June 7, 2019 - May 1, 2023

APW CAPITAL, INC.

CRD#: 43814

ISELIN, NJ

Past

July 2, 2015 - April 23, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

NEW YORK, NY

Past

July 2, 2015 - April 23, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

NEW YORK, NY

Past

March 1, 2012 - July 23, 2015

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

March 1, 2012 - July 23, 2015

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

March 13, 2010 - March 2, 2012

EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007

NEW YORK, NY

Past

December 22, 2009 - March 23, 2010

LAMPERT CAPITAL MARKETS INC.

CRD#: 103725

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".

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 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

Arizona
(3/25/2024)

California
(3/25/2024)

Colorado
(7/1/2024)

Florida
(3/25/2024)

Illinois
(3/25/2024)

Kansas
(3/25/2024)

Maryland
(2/24/2025)

Missouri
(3/25/2024)

IAR

New Jersey
(3/15/2024)

New Jersey
(3/25/2024)

New York
(3/25/2024)

Oregon
(3/25/2024)

Pennsylvania
(3/25/2024)

South Carolina
(3/25/2024)

IAR

Texas
(3/11/2024)

Texas
(3/25/2024)

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: 3/31/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/30/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/21/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

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Contact information

Main Address

111 West 33rd Street Unit 1410, New York, NY 10001

Mailing Address

Phone number

(833) 745-6789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAVVY ADV PART 2 (8/19/2025)

Regulatory assets under management

Total Number of Accounts	3,776
AUM (Assets Under Management)	$ 1,295,318,161

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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Advisor Monitoring

Firm Stability Insights

David M. Gottlieb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

DAI SECURITIES, LLC

PROSPERITY - AN EISNERAMPER COMPANY

DAI SECURITIES, LLC

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

APW CAPITAL, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

EMPIRE ASSET MANAGEMENT COMPANY

LAMPERT CAPITAL MARKETS INC.

Primary Firm SEC Registration

SAVVY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2010

Series 63

Date: 12/28/2009

SIE

Date: 10/1/2018

Series 31

Date: 3/30/2012

Series 7

Date: 12/21/2009

FINRA

Current Firm

SAVVY

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAVVY

TRUST BUT VERIFY

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