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Browse financial advisors

Compare investment adviser representatives and registered brokers by experience and registrations — compiled from public SEC and FINRA records.

Showing 24 advisors (page 2+)
DJ

David Joshua Rockman

California·CRD #2346090
Dual-registered

Dual-registered at ON INVESTMENT MANAGEMENT CO

Experience
33 yrs
States
8
Exams
6
Since
1993
Est. fee
AUM / Hourly / Flat Fee
View profile
DJ

David J Parziale

California·CRD #7538139
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
4 yrs
States
2
Exams
5
Since
2022
Est. fee
AUM / Commission / Flat Fee
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DJ

David J Phillips

California·CRD #2255649
Dual-registered

Dual-registered at VALLEY WEALTH STRATEGIES, LLC

Experience
30 yrs
States
1
Exams
5
Since
1996
Est. fee
AUM / Hourly / Flat Fee
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DJ

David J Salamone

Illinois·CRD #4418830
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
25 yrs
States
2
Exams
3
Since
2001
Est. fee
AUM / Commission / Flat Fee
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DJ

David J Siwiec

Connecticut·CRD #2361020
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
33 yrs
States
3
Exams
5
Since
1993
Est. fee
AUM / Commission / Flat Fee
View profile
DJ

David J Smith

California·CRD #7612194
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
4 yrs
States
2
Exams
3
Since
2022
Est. fee
AUM / Commission / Flat Fee
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DJ

David J Sterner

Illinois·CRD #2095308
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
36 yrs
States
2
Exams
5
Since
1990
Est. fee
AUM / Commission / Flat Fee
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DJ

David J Tilkens

Texas·CRD #2603629
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
31 yrs
States
2
Exams
6
Since
1995
Est. fee
AUM / Flat Fee
View profile
DJ

David Judd Florell

Minnesota·CRD #5210813
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
20 yrs
States
5
Exams
4
Since
2006
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
DJ

David Julian

Texas·CRD #6793638
Dual-registered

Dual-registered at CORDA INVESTMENT MANAGEMENT, LLC

Experience
9 yrs
States
1
Exams
4
Since
2017
Est. fee
AUM
View profile
DJ

David Justin Felte

California·CRD #4481315
Dual-registered

Dual-registered at EAGLE STRATEGIES LLC

Experience
24 yrs
States
2
Exams
5
Since
2002
Est. fee
AUM / Hourly / Flat Fee
View profile
DJ

David Justin Melnyk

Florida·CRD #6290703
Dual-registered

Dual-registered at OSAIC INSTITUTIONS, INC.

Experience
12 yrs
States
1
Exams
4
Since
2014
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
DJ

David Justin Ozga

Connecticut·CRD #5852718
IA Rep

Investment Adviser Rep at STANCORP INVESTMENT ADVISERS, INC.

Experience
16 yrs
States
1
Exams
4
Since
2010
Fee
AUM / Flat Fee / Other
View profile
DJ

David J Waitrovich

California·CRD #1064617
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
44 yrs
States
2
Exams
5
Since
1982
Est. fee
AUM / Commission / Flat Fee
View profile
DJ

David J Willeumier

Illinois·CRD #4782886
Dual-registered

Dual-registered at STRATEGIC ASSET MANAGEMENT LLC.

Experience
22 yrs
States
2
Exams
4
Since
2004
Fee
AUM / Flat Fee
View profile
DJ

David J Wuller

Tennessee·CRD #2679277
Dual-registered

Dual-registered at NEWEDGE ADVISORS

Experience
25 yrs
States
2
Exams
9
Since
2001
Fee
AUM / Hourly / Flat Fee
View profile
DK

David Kaifel Rosenberg

California·CRD #5850254
Dual-registered

Dual-registered at NADLER FINANCIAL GROUP, INC.

Experience
14 yrs
States
2
Exams
3
Since
2012
Est. fee
AUM
View profile
DK

David Keating Mullen

Massachusetts·CRD #7441905
IA Rep

Investment Adviser Rep at LITTLE HOUSE CAPITAL, LLC

Experience
5 yrs
States
1
Exams
1
Since
2021
Est. fee
AUM / Hourly / Flat Fee
View profile
DK

David Keel

Florida·CRD #1682509
Dual-registered

Dual-registered at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Experience
36 yrs
States
1
Exams
6
Since
1990
Est. fee
AUM / Hourly / Flat Fee / Other
View profile
DK

David Keene Mitchell

Alabama·CRD #4564217
Dual-registered

Dual-registered at CENTAURUS FINANCIAL, INC.

Experience
22 yrs
States
16
Exams
6
Since
2004
Est. fee
AUM / Hourly / Flat Fee
Minimum
$25k
View profile
DK

David Kees

Louisiana·CRD #2048812
Dual-registered

Dual-registered at KOVACK ADVISORS, INC.

Experience
35 yrs
States
2
Exams
5
Since
1991
Est. fee
AUM / Hourly / Flat Fee / Other
Minimum
$10k
View profile
DK

David Keith Campbell

Texas·CRD #2658694
Dual-registered

Dual-registered at DIMENSIONAL FUND ADVISORS LP

Experience
26 yrs
States
1
Exams
5
Since
2000
Est. fee
AUM / Performance-based
Minimum
$250k
View profile
DK

David Keith Schaal

Nebraska·CRD #706445
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
46 yrs
States
1
Exams
12
Since
1980
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
DK

David Kenneth Galuskin

Connecticut·CRD #3034250
Dual-registered

Dual-registered at HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Experience
26 yrs
States
1
Exams
8
Since
2000
Est. fee
AUM
Minimum
$50k
View profile

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Disclaimer

This directory contains publicly available information from SEC IAPD (Investment Adviser Public Disclosure) and FINRA BrokerCheck. The information is provided for informational purposes only and does not constitute a recommendation or endorsement. Please conduct your own due diligence and consult with a qualified professional before making any investment decisions.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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