DM
David J. Marshall
CANTOR FITZGERALD INVESTMENT ADVISORS
LYNCHBURG, VA 24504
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CRD#: 863290
DM
Professional summary
David Jarrell Marshall, who also goes by David J Marshall, is a registered financial advisor currently at CANTOR FITZGERALD INVESTMENT ADVISORS located in Lynchburg, Virginia.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. David has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David J Marshall
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.
PATRICK HENRY FAMILY SERVICES; NOT INVESTMENT RELATED;1621 ENTERPRISE DR. LYNCHBURG, VA; SERVE AS A MEMBER OF THE BOARD OF TRUSTEES AND IN THE OFFICE OF TREASURER; TRUSTEE AND TREASURER; PROVIDE ADVICE AND OVERSIGHT TO THE MANAGEMENT OF THE ORGANIZATION; ATTEND BOARD MEETINGS AND CHAIR THE INVESTMENT COMMITTEE WHICH OVERSEES INVESTMENT FUNDS OF THE ORGANIZATION. ALSO CHAIR THE FINANCE COMMITTEE WHICH OVERSEES THE ANNUAL BUDGET; 3 HOURS DEVOTED TO BUSINESS PER MONTH; 1 HOUR DURING OUTSIDE REGULAR TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view David Jarrell Marshall's 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®
NoneExperience
Current
July 7, 2021 - Present
CANTOR FITZGERALD INVESTMENT ADVISORS
Office #1: 800 Main Street, Lynchburg, VA 24504RIA
CRD#: 159296
LYNCHBURG, VA
Past
June 29, 1994 - July 7, 2021
FLIPPIN BRUCE & PORTER INC
RIA
CRD#: 105718
LYNCHBURG, VA
Past
December 27, 1983 - January 13, 1986
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 6, 1979 - February 10, 1984
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
March 1, 1979 - July 15, 1979
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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".
CF
CANTOR FITZGERALD INVESTMENT ADVISORS
BSP MEMBER MANAGER, LLC (RELYING ADVISOR) | FLIPPIN BRUCE & PORTER | EFFICIENT MARKET ADVISORS | CDMF, LLC (RELYING ADVISOR) | CDF II, LLC (RELYING ADVISOR) | CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. | CANTOR FITZGERALD INVESTMENT ADVISORS
CRD#: 159296 / SEC#: 801-72852
RIA
Registered Investment Advisory firm - (11/15/2011 Approved)Delaware
Registered Investment Advisory firm - (5/22/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
Virginia(7/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 4/16/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Current Firm
CF
CANTOR FITZGERALD INVESTMENT ADVISORS
BSP MEMBER MANAGER, LLC (RELYING ADVISOR) | FLIPPIN BRUCE & PORTER | EFFICIENT MARKET ADVISORS | CDMF, LLC (RELYING ADVISOR) | CDF II, LLC (RELYING ADVISOR) | CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. | CANTOR FITZGERALD INVESTMENT ADVISORS
CRD#: 159296 / SEC#: 801-72852
RIA
Registered Investment Advisory firm - (11/15/2011 Approved)Delaware
Registered Investment Advisory firm - (5/22/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
110 East 59th Street 7th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 915-1722
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,286 |
| AUM (Assets Under Management) | $ 2,384,816,869 |
Red Flags
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Company Information
CANTOR FITZGERALD INVESTMENT ADVISORS
CRD#: 159296Lynchburg, VA 24504TRUST BUT VERIFY
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