David Rock Vanderpool
Professional Summary
David Rock Vanderpool is a registered financial advisor currently at PICKWICK CAPITAL PARTNERS, LLC located in Ava, Missouri. David is registered as a RR (Registered Representative) and started their career in finance in 2022. David has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
4 years in the financial services industry
Current & Past Employments
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Current Firm
JAVELIN SECURITIES, LLC | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC
Contact Information
Main Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601Mailing Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601Phone Number
(914) 358-3269Established
Delaware since 08/21/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | — |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | — |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | — |
| PIDLIPCHAK, JOHN ADAM | FINOP | 5496984 |
| RISSER, SUZANNE LOUISE | CCO | 1303694 |
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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.
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State Registrations and Notice Filings
(1/3/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Dec 2022About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Rock Vanderpool's CRS (Customer Relationship Summary).
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