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David Andrew Fingerhut

Description

David Fingerhut a financial professional at Financial Legacy Associates, a $33M dollar RIA based in Chesterfield, MO. David is also registered with Royal Alliance Associates, Inc., a broker-dealer with over 1,950 registered representatives nationwide. David has held an industry securities registration for 20 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 Andrew Fingerhut has not answered any questions on Financial Q&A.

Top Guides

David Andrew Fingerhut 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

*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
Financial Legacy Assoc., LLC 10 years, 3 months Feb 2003 - Present
Royal Alliance Associates, Inc. 10 years, 5 months Dec 2002 - Present
Royal Alliance Associates Inc 2 years, 2 months Oct 2000 - Dec 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/27/2012, 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

1 Financial Disclosure

1 Financial Disclosure
As of Date
06/27/2012
08/04/2012
*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 Principal Examination Series 24 01/19/2002
General Securities Representative Examination Series 7 12/20/1999
Uniform Investment Adviser Law Examination Series 65 11/30/1995
Uniform Securities Agent State Law Examination Series 63 10/06/1992
Investment Company Products/Variable Contracts Representative Examination Series 6 07/30/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees