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David Andrew Finkelstein

Siebert Williams Shank & CO., LLC

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About David Andrew Finkelstein

David Andrew Finkelstein is a financial advisor who is currently registered with Siebert Williams Shank & CO., LLC. David has been in the financial services industry since 1988. David has held previous roles with The Williams Capital Group, L.P., Prescott, Ball & Turben, Inc., McLeod Young Weir Incorporated, Tucker, Anthony & R. L. Day, Inc., and David Lerner Associates, Inc. David is licensed to provide financial services in the following states: Florida, Georgia, Illinois, Massachusetts, New York, Ohio, and Texas.

Firm Information

David Finkelstein is currently registered with Siebert Williams Shank & CO., LLC. Siebert Williams Shank & CO., LLC is a Limited Liability Company that was formed in March 1997. The firm is registered in all 50 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Finkelstein’s Registration & Firm History

NY

11/05/2019 - Present

Siebert Williams Shank & CO., LLC (NEW YORK NY)

NY

03/15/1994 - 11/05/2019

THE WILLIAMS CAPITAL GROUP, L.P. (NEW YORK NY)

NA

03/09/1988 - 04/24/1989

PRESCOTT, BALL & TURBEN, INC.

NA

02/01/1985 - 01/11/1988

MCLEOD YOUNG WEIR INCORPORATED

NA

01/13/1983 - 10/01/1984

TUCKER, ANTHONY & R. L. DAY, INC.

NA

08/25/1982 - 12/29/1982

DAVID LERNER ASSOCIATES, INC.

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Licenses & Designations

BC

Issued 03/24/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/03/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/1998

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 03/19/1994

Series 7 - General Securities Representative Examination

BC

Issued 06/12/1984

Series 15 - Foreign Currency Options Examination

BC

Issued 07/12/1982

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Andrew Finkelstein.
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