David Maggio is a registered investment advisor, based in Naples, FL, with 30 years of industry experience.
Location
1415 Panther Lane, Suite 356, Naples, FL, 34109
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Regulatory History (3)
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Customer Dispute
February 2011Denied
Customer Dispute
October 2009Award / Judgment
Customer Dispute
October 2006Denied
Other Business ActivitiesSells Insurance
David is involved in insurance sales as an owner of ELM44 Financial Group, LLC, dedicating a few hours per week. He also serves as President/CCO of Personal Financial Profiles, Inc., spending about a quarter of his time, and is a registered representative with APW Capital, Inc., spending minimal time.
Employment History
Current Registrations
Apw Capital, INC.Broker
January 2014 - Present · 12 yrs 4 mos
Personal Financial Profiles INC
May 2013 - Present · 13 yrs
Previous Registrations
Foresters Equity Services, INC.Broker
April 2013 - December 2013 · 8 mos
Suntrust Investment Services, INC.Broker
March 2004 - April 2013 · 9 yrs 1 mo
Suntrust Investment Services, INC.
March 2004 - April 2013 · 9 yrs 1 mo
Amsouth Investment Management Company LLC
July 2003 - March 2004 · 8 mos
Amsouth Investment Services, INC.
June 2003 - July 2003 · 1 mo
Amsouth Investment Services, INC.Broker
May 2002 - March 2004 · 1 yr 10 mos
Charles Schwab & CO., INC.Broker
July 1995 - December 2001 · 6 yrs 5 mos
State Registrations15 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.