David Edward Achzet

Current Employers

Employment History

• 08/2015 → 07/2019
  Vision Financial Markets Llc
  Stamford, CT
• 08/2019 → 08/2022
  Fieldpoint Private Securities Llc
  Greenwich, CT
• 08/2022 → 03/2023
  Compliance Consultant
  Norwalk, CT
• 03/2023 → 05/2023
  Dominari Securities Llc
  New York, CT
• 02/2024 → 04/2024
  Alternative Execution Group
  Bayonne, NJ
• 01/2024 → Present
  Regulatory Compliance Solutions
  New York, NY
• 01/2024 → Present
  Patten Training & Review Llc
  The Woodlands, TX
• 05/2023 → Present
  Harbor Lights Compliance Consulting Llc
  Norwalk, CT
• 04/2024 → 12/2025
  Quint Capital Corp
  New York, NY
• 05/2024 → 04/2025
  Bley Investment Group, Inc.
  Fort Worth, TX
• 05/2024 → 04/2025
  Pierce Wealth Partners, Inc.
  Fort Worth, TX
• 09/2024 → 10/2024
  Lido Securities, Llc
  The Woodlands, TX
• 12/2024 → 01/2025
  Jvda, Llc
  New York, NY
• 02/2025 → Present
  Mediobanca Securities Usa Llc
  New York, NY
• 02/2026 → Present
  Vest Securities, Llc
  Mclean, VA
• 02/2026 → Present
  Vest Financial, Llc
  Mclean, VA

Previous Registrations

• 2024-04-05 → 2025-12-31
  Quint Capital Corporation
  New York, NY
  Norwalk, CT
• 2024-05-24 → 2025-04-22
  Pierce Wealth Partners, Inc.
  Norwalk, CT
• 2023-03-31 → 2023-05-04
  Dominari Securities Llc
  New York, NY
• 2019-08-06 → 2022-08-17
  Dominari Securities Llc
  New York, NY
• 2015-08-11 → 2019-07-23
  Vision Investment Advisors, Llc
  Stamford, CT
• 2011-04-29 → 2015-07-27
  Source Capital Group, Inc.
  Westport, CT
• 2000-02-29 → 2006-06-01
  Signator Financial Services, Inc.
  Norwalk, CT
  Newton, IL
  Laurel, MD
  Longwood, FL
  Evergreen Park, IL
  Racine, WI
  Leominster, MA
  Lansing, IL
  Grand Rapids, MI
  Cincinnati, OH
  Birmingham, MI
  Baltimore, MD
  Orlando, FL

Other Businesses

1. 05/2023 to Present - Harbor Lights Compliance Consulting LLC, Norwalk, CT, USA. Not investment related; Owner; provides outsourced CCO services and other compliance-related services to BDs and RIAs; total hours/month based on client activity; hours/month during securities trading hours vary. 2. 01/2024 to Present- Patten Training & Review LLC, 8111 Ashlane Way, Suite 207, The Woodlands, TX, USA. Not investment-related; Independent Contractor - outsourced CCO services and other compliance-related services to BDs and RIAs; total hours/month based on client activity; hours/month during securities trading hours vary. 3. 01/2024 to Present - Regulatory Compliance Solutions, 1120 6th Avenue, 4th Floor, New York, NY 10036 USA. Not investment-related; Independent Contractor - outsourced CCO services and other compliance-related services to BDs and RIAs; total hours/month based on client activity; hours/month during securities trading hours vary. 4. 09/1986 to Present - Insurance Agent - licensed in CT for life insurance and variable annuity products. License is used only for non-investment purposes as a compliance services provider. No clients are involved, and no business is solicited. Total hours/month are based on client activity; hours/month during securities trading hours vary. 5. Currently registered with: Mediobanca Securities USA LLC - Outsourced CCO/AMLCO - Independent Contractor. Vest Securities, LLC - CCO/AMLCO - Independent Contractor Vest Financial, LLC - Investment Advisory Representative - Independent Contractor

Exams

• S66 Uniform Combined State Law Examination
  2011-04-21
• S65 Uniform Investment Adviser Law Examination
  1995-03-06
• S63 Uniform Securities Agent State Law Examination
  1983-12-09

Other Names

• Dave Achzet