David P. Stangl
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 Paul Stangl was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2016 - December 8, 2017
OPPENHEIMER & CO. INC.
July 19, 2016 - December 8, 2017
OPPENHEIMER & CO. INC.
February 28, 2002 - July 25, 2016
SECURITIES AMERICA ADVISORS, INC.
November 26, 1999 - July 21, 2016
SECURITIES AMERICA, INC.
June 29, 1990 - June 1, 2000
SENTRA SECURITIES CORPORATION
October 17, 1989 - May 22, 1990
IDS LIFE INSURANCE COMPANY
October 17, 1989 - May 22, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 1988 - November 1, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 20, 1984 - September 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1981 - June 11, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
March 21, 1979 - June 12, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
March 21, 1979 - June 12, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
March 21, 1979 - June 12, 1981
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/10/1979
Registered Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
