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DA

David M. Adelberg

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CRD#: 810539
DA

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 Michael Adelberg was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1975. David had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 15, 2022 - December 31, 2022

WORLD CAPITAL BROKERAGE, INC.

BD
CRD#: 37
DENVER, CO
Past

September 12, 2017 - July 12, 2022

NYLIFE SECURITIES LLC

BD
CRD#: 5167
FALLS CHURCH, VA
Past

January 26, 2007 - July 9, 2012

WORLD CAPITAL BROKERAGE, INC.

BD
CRD#: 37
DENVER, CO
Past

March 7, 2005 - December 31, 2006

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
FALLS CHURCH, VA
Past

January 28, 2005 - December 31, 2006

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
FALLS CHURCH, VA
Past

May 6, 1994 - January 27, 2005

WORLD CAPITAL BROKERAGE, INC.

BD
CRD#: 37
DENVER, CO
Past

July 3, 1989 - December 4, 1992

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

October 29, 1986 - December 31, 1988

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
GLEN ALLEN, VA
Past

August 1, 1975 - November 5, 1986

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/23/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/12/2017
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 7/29/1975
Registered Representative Examination

Current Firm

WORLD CAPITAL BROKERAGE, INC.
WORLD CAPITAL BROKERAGE, INC.
A.G.F. SPONSORS, INC. | WORLD CAPITAL BROKERAGE, INC. | AMERICAN GROWTH FUND SPONSORS, INC.

CRD#: 37 / SEC#: , 8-6805

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1636 N. Logan Street, Denver, CO 80203
Mailing Address
1636 N. Logan Street, Denver, CO 80203
Phone number
(303) 626-0631
Established
Colorado since 07/18/1958
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AGF HOLDINGS INC.OWNER
BLUM, PATRICIA ANNVICE PRESIDENT4467584
GAUGHAN, MICHAEL LAWRENCEVICE PRESIDENT, SECRETARY2915597
TAGGART, TIMOTHY EUGENECHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, SALES, MARKETING, TRAINING & DIRECTOR1075525

Disclosures

Regulatory Event3

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.

Company Information

WORLD CAPITAL BROKERAGE, INC.

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

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