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 JONATHAN RATH
DAVID RATH, David J Rath
CRD#: 5058213
IA
Investment Adviser
B
Previous Broker
CONTINUUM WEALTH ADVISORS, LLCCRD#: 152895 18 DIVISION ST.
SUITE 207B
SARATOGA SPRINGS, NY 12866
Registration History
200620082010201220142016201820202022202420262 FIRMS2018 - 2019 (<1 year)IACONTINUUM WEALTH ADVISORS, LLC (CRD# 152895)2021 - Present (3 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2012 - 2017 (5 years)BMERCER ALLIED COMPANY, L.P. (CRD# 37404)2010 - 2012 (1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)2005 - 2006 (<1 year)
License(s)

State Registrations

IA
New York 7/27/2021
Current Registration(s)
IA
CONTINUUM WEALTH ADVISORS, LLC (CRD#:152895)
18 DIVISION ST. SUITE 207B, SARATOGA SPRINGS, NY 12866
Registered with this firm since 7/27/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/05/2018 - 01/24/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) LATHAM, NY
B
 02/13/2018 - 01/24/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) LATHAM, NY
B
 04/12/2012 - 09/12/2017 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) LATHAM, NY
B
 09/29/2010 - 03/16/2012 MERCER ALLIED COMPANY, L.P. (CRD#:37404) ALBANY, NY
B
 11/08/2005 - 01/11/2006 NATIONAL PLANNING CORPORATION (CRD#:29604) SAN DIEGO, CA
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.