Individual Firm
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DAVID EFREM WARSHAW
CRD#: 4702122
IA
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THE WEALTHPLAN LLCCRD#: 306820 60 CUTTER MILL ROAD
SUITE 100-G
GREAT NECK, NY 11021
SUITE 100-G
GREAT NECK, NY 11021
View By:
1/17/2022
Customer Dispute
Settled
State Registrations
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Florida 12/7/2020
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New York 11/22/2021
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New Jersey 7/20/2023
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Texas 11/16/2020
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Registered with this firm since 11/16/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/09/2018 - 03/13/2020 | GARDEN CITY, NY | |
IA | 10/27/2010 - 01/17/2017 | HOLBROOK, NY | |
B | 10/26/2010 - 01/17/2017 | Roslyn, NY | |
B | 10/31/2003 - 10/27/2010 | MITCHEL FIELD, NY | |
B | 10/31/2003 - 07/03/2006 | MINNEAPOLIS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.