Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DAVID MICHAEL MUNTZ
CRD#: 3236250
IA
Investment Adviser
MUNTZ FINANCIAL, LLCCRD#: 145971 108 N. MAIN STREET
SUITE 202
DOYLESTOWN, PA 18901
Registration History
199820002002200420062008201020122014201620182020202220242026IAMUNTZ FINANCIAL, LLC (CRD# 145971)2008 - Present (17 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2008 (<1 year)IAPNC INVESTMENTS (CRD# 129052)2004 - 2007 (2 years)IAQUICK & REILLY, INC. (CRD# 11217)2004 - 2004 (<1 year)IAHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2002 - 2003 (<1 year)
Disclosure(s)
View By:
1/24/2011
Customer Dispute
Settled
7/13/1998
Criminal
Final Disposition
License(s)

State Registrations

IA
New Jersey 7/12/2012
IA
Pennsylvania 1/8/2008
Current Registration(s)
IA
MUNTZ FINANCIAL, LLC (CRD#:145971)
108 N. MAIN STREET SUITE 202, DOYLESTOWN, PA 18901
Registered with this firm since 1/8/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/15/2007 - 01/10/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLUE BELL, PA
IA
 10/04/2004 - 02/20/2007 PNC INVESTMENTS (CRD#:129052) EAGLEVILLE, PA
IA
 05/10/2004 - 07/20/2004 QUICK & REILLY, INC. (CRD#:11217) TREVOSE, PA
IA
 11/22/2002 - 02/18/2003 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) HORSHAM, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.