David Schiavo, financial advisor Cary NC
93 score

David Schiavo

CRD Number: 2010237
Current Firm: Summit Financial Group Inc.

David Schiavo (CRD# 2010237) is an Investment Advisor Representative working at Summit Financial Group Inc. in Cary, NC and has over 25 years of experience in the finance industry.

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Company Name Location Dates Years
Summit Financial Group Cary, NC Mar 2016 - Current < 1
Summit Brokerage Services Cary, NC Mar 2016 - Current < 1
Wells Fargo Advisors LLC Cary, NC May 2009 - Jan 2016 6
Wachovia Securities, LLC Raleigh, NC Sep 2005 - May 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1991
S65 NASAA Investment Advisors Law Examination Sep 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David C. Schiavo
Phone Number: 561-338-2600
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    1,671
    MILLIONS
  • Total Number of Accounts
    8,086
    ACCOUNTS
  • Average Account Value
    $206,638
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI, WV

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BADGES
93

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