Unclaimed Profile

David Michael Maggio

PERSONAL FINANCIAL PROFILES INC·CORAL SPRINGS, Florida

SIE, Series 7, Series 8, Series 24, Series 31, Series 63, Series 6523 years registeredPERSONAL FINANCIAL PROFILES INC

10100 W. SAMPLE ROAD, CORAL SPRINGS, FL 33065CRD# 2447727Firm CRD# 109327

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Michael Maggio · CORAL SPRINGS, FL

Registration

CRD #2447727 · PERSONAL FINANCIAL PROFILES INC · 23 years registered

Brand Profile

Not yet started

Career History

PERSONAL FINANCIAL PROFILES INC

May 2013 – present

SUNTRUST INVESTMENT SERVICES, INC.

Mar 2004 – Apr 2013

NAPLES, FL

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

Jul 2003 – Mar 2004

NAPLES, FL

AMSOUTH INVESTMENT SERVICES, INC.

Jun 2003 – Jul 2003

NAPLES, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 24

Series 31

Series 63

Series 65

Registration record

First registered · June 6, 2003

Years registered · 23

Disclosure History

2011Customer Dispute·Denied

2009Customer Dispute·Award / Judgment

2006Customer Dispute·Denied

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

PERSONAL FINANCIAL PROFILES INC

CRD 109327 · SEC 801-78068

AUM

$274M

Regulatory assets under management

Employees

350 client accounts

Services offered by PERSONAL FINANCIAL PROFILES INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PERSONAL FINANCIAL PROFILES INC →

Introduction

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Frequently Asked Questions

What services does David Michael Maggio offer?

David Michael Maggio specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CORAL SPRINGS, Florida for a consultation.

What are David Michael Maggio's credentials?

David Michael Maggio is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Michael Maggio located?

David Michael Maggio is based in CORAL SPRINGS, Florida, working with PERSONAL FINANCIAL PROFILES INC. Their office serves clients in the CORAL SPRINGS metropolitan area and surrounding communities.

How does David Michael Maggio charge for services?

David Michael Maggio's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PERSONAL FINANCIAL PROFILES INC?

PERSONAL FINANCIAL PROFILES INC has approximately 2 employees and manages $274M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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