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David Jon Zupek

Firm:
Annex Wealth Management, LLC
Additional Firm:
H. Beck, Inc.
Type: Dual Registration
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Description

David Zupek a financial professional at Annex Wealth Management, LLC, a $375M dollar RIA based in Elm Grove, WI. David is also registered with H. Beck, Inc., a broker-dealer with 912 registered representatives nationwide. David has held an industry securities registration for 19 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

David Jon Zupek has not answered any questions on Financial Q&A.

Top Guides

David Jon Zupek has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Annex Wealth Management 2 years, 7 months Oct 2010 - Present
Ing Financial Partners, Inc. 6 years, 9 months Jan 2004 - Oct 2010
Washington Square Securities, Inc. 1 year, 8 months Apr 2002 - Dec 2003
SII Investments, Inc. 2 years, 2 months Feb 2000 - Apr 2002
Zupek & Associates 21 years, 8 months Oct 1991 - Present
Foremost Financial Planning, Inc. 21 years, 8 months Oct 1991 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/21/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

3 Customer Disputes

3 Customer Disputes
As of Date
04/21/2011
04/21/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
General Securities Representative Examination Series 7 08/06/2002
Uniform Investment Adviser Law Examination Series 65 01/21/1994
Uniform Securities Agent State Law Examination Series 63 06/22/1992
Investment Company Products/Variable Contracts Representative Examination Series 6 06/18/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions