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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

DAVID MICHAEL MAGGIO

Advisor at PERSONAL FINANCIAL PROFILES INC

NAPLES, FL | CORAL SPRINGS, FL

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Search this name across graphsid dfx:ria:7b14e0ed-8219-bf71-9e98-463607abbe74

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PERSONAL FINANCIAL PROFILES INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 15, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 15, 1996
First registration: Jun 6, 2003
Dual registered: yes, broker-dealer
Other names: DAVID M MAGGIO
IAPD individual key: 2447727

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PERSONAL FINANCIAL PROFILES INC	Independent wealth	May 3, 2013	n/a	yes	NAPLES, FL\|CORAL SPRINGS, FL	Current employment
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Mar 5, 2004	Apr 5, 2013	no	MARCO ISLAND, FL\|NAPLES, FL\|NAPLES, FL\|NAPLES, FL\|NAPLES, FL\|NAPLES, FL\|NAPLES, FL\|NAPLES, FL	Previous registration
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	n/a	Jul 31, 2003	Mar 1, 2004	no	NAPLES, FL	Previous registration
AMSOUTH INVESTMENT SERVICES, INC.	n/a	Jun 6, 2003	Jul 30, 2003	no	NAPLES, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUNTRUST INVESTMENT SERVICES, INC.	PERSONAL FINANCIAL PROFILES INC	Apr 5, 2013	May 3, 2013	28	Firm change	Other
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	SUNTRUST INVESTMENT SERVICES, INC.	Mar 1, 2004	Mar 5, 2004	4	Firm change	Other
AMSOUTH INVESTMENT SERVICES, INC.	AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	Jul 30, 2003	Jul 31, 2003	1	Bulk transfer	Other

Relationships

Registered with (4)

→ PERSONAL FINANCIAL PROFILES INCRegistered adviserregistration: current employment
May 3, 2013 to presentfactForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 5, 2004 to Apr 5, 2013factForm ADV
→ AMSOUTH INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserregistration: previous registration
Jul 31, 2003 to Mar 1, 2004factForm ADV
→ AMSOUTH INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 6, 2003 to Jul 30, 2003factForm ADV

Dated events

No dated event names this entity yet.