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DAVID VOLKMAR
DAVID C VOLKMAR, DAVID CHRISTIAN VOLKMAR
CRD#: 5551121
IA
B
VALLEY WEALTH MANAGERS, INC.CRD#: 108879 350 Madison Avenue
4th Floor
New York, NY 10017
4th Floor
New York, NY 10017
VALLEY FINANCIAL MANAGEMENT, INC.CRD#: 105387 350 Madison Avenue
New York, NY 10017
New York, NY 10017
0
Disclosures
6
Years of Experience
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State Registrations
B
New York 6/16/2023
IA
New York 6/16/2023
SRO Registrations
B
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IA
Registered with this firm since 8/4/2023
IA
Registered with this firm since 6/16/2023
B
Registered with this firm since 12/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/24/2019 - 07/08/2021 | NEW YORK, NY | |
B | 07/24/2019 - 07/08/2021 | NEW YORK, NY | |
B | 09/12/2017 - 05/23/2018 | NEW YORK, NY | |
B | 07/10/2008 - 11/09/2009 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.