David Layte
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Layte, who also goes by David Edwin Layte, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2012. David had worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2021 - December 24, 2025
SHP WEALTH MANAGEMENT, LLC
July 17, 2017 - August 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 14, 2017 - August 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 22, 2012 - September 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2012 - September 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SHP WEALTH MANAGEMENT, LLC
CRD#: 174697 / SEC#: 801-108679
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationCurrent Firm
SHP WEALTH MANAGEMENT, LLC
CRD#: 174697 / SEC#: 801-108679
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,457 |
| AUM (Assets Under Management) | $ 1,919,937,476 |
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.
