David M. Braunstein
Professional summary
David Mark Braunstein is a registered financial advisor currently at BRIGHTON SECURITIES CORP. located in Hamburg, New York and SAPERSTON LEGACY ADVISORS, INC. located in Hamburg, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Mark Braunstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Mark Braunstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 25, 2025 - Present
BRIGHTON SECURITIES CORP.
Office #1: 172 Lake Street, Hamburg, NY 14075November 6, 2025 - Present
SAPERSTON LEGACY ADVISORS, INC.
Office #1: 172 Lake Street, Hamburg, NY 14075October 4, 2018 - Present
BRIGHTON SECURITIES CORP.
Office #1: 172 Lake Street, Hamburg, NY 14075May 6, 1998 - October 29, 2018
SAPERSTON ASSET MANAGEMENT, INC.
October 16, 1997 - May 5, 1998
LASALLE ST SECURITIES, L.L.C.
July 16, 1993 - October 16, 1997
SAPERSTON FINANCIAL INC.
July 11, 1988 - June 28, 1993
GLEACHER & COMPANY SECURITIES, INC.
February 22, 1982 - July 13, 1988
LEHMAN BROTHERS INC.
May 18, 1981 - March 11, 1982
THOMSON MCKINNON SECURITIES INC.
October 17, 1979 - May 10, 1981
LEHMAN BROTHERS INC.
January 3, 1977 - October 18, 1979
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/4/2018)
(10/4/2018)
(8/26/2025)
(6/9/2023)
(10/4/2018)
(2/7/2023)
(9/22/2022)
(10/4/2018)
(8/25/2025)
(10/4/2018)
(10/4/2018)
(8/25/2025)
(10/4/2018)
(10/26/2018)
(10/4/2018)
(10/16/2018)
Exams
PC
Date: 3/1/1980
AMEX Put and Call ExamFINRA
Current Firm
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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
BRIGHTON SECURITIES CORP.
CRD#: 3875Hamburg, NY 14075TRUST BUT VERIFY
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