David J. Shoffstall

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Columbus, OH

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CRD#: 7186327

Professional summary

David Joseph Shoffstall, who also goes by David Shoffstall, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Columbus, Ohio and NYLIFE DISTRIBUTORS LLC located in Merrick, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6TO exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Shoffstall

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.

Abraham-Shoffstall Investments, LLC. This is an investment-related business. 201 Western Avenue North St. Paul, MN 55102 It is a divided partnership in a 6-plex. The address of the building is 1811 Johnson St NE, Minneapolis, MN 55418. I have little to no relationship with this building, it was provided to me at a young age to begin learning about the nature of investment vehicles; the relationship began in 09/2014. I devote roughly 1-2 hours to the business a year. I devote no hours to the other business during securities trading hours. My duties was to initially value the property under supervision and make a decision on the return we could receive with and without a renovation schedule.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Shoffstall'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

October 8, 2025 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Columbus, OH

Current

October 8, 2025 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Merrick, NY

Past

June 28, 2024 - September 16, 2025

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

COLUMBUS, OH

Past

August 15, 2022 - June 17, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Columbus, OH

Past

April 19, 2022 - June 17, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Columbus, OH

Past

November 21, 2019 - February 16, 2021

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

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".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 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

Illinois
(10/8/2025)

Indiana
(10/8/2025)

Kentucky
(10/8/2025)

Michigan
(10/8/2025)

Ohio
(10/8/2025)

IAR

Ohio
(10/8/2025)

West Virginia
(10/8/2025)

Wisconsin
(10/8/2025)

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: 8/15/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/5/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/21/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6TO

Date: 10/21/2019

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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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Firm Stability Insights

David J. Shoffstall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Shoffstall's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

JPMORGAN DISTRIBUTION SERVICES, INC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2022

Series 63

Date: 12/13/2019

Series 7TO

Date: 11/5/2020

SIE

Date: 11/21/2019

Series 6TO

Date: 10/21/2019

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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