David A. Sprick
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 Alan Sprick was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 3 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2024 - March 25, 2026
CALIBER WEALTH MANAGEMENT, LLC
March 26, 2001 - October 2, 2024
EQUITABLE ADVISORS, LLC
October 20, 1980 - October 2, 2024
EQUITABLE ADVISORS, LLC
June 4, 1980 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
CALIBER WEALTH MANAGEMENT, LLC
CRD#: 331165 / SEC#: 801-130677
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 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 5/22/1980
Registered Representative ExaminationCurrent Firm
CALIBER WEALTH MANAGEMENT, LLC
CRD#: 331165 / SEC#: 801-130677
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,598 |
| AUM (Assets Under Management) | $ 1,168,700,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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