David Braunstein has been an investment adviser representative at Saperston Legacy Advisors since November 2025, and is not listed among the firm’s executive officers or direct owners.
Saperston Legacy Advisors, Inc. is a Hamburg, NY firm with $181M under management, 436 clients and 4 advisers across 2 offices, as of its March 2026 filing.
David Braunstein’s longest registration is the current one, under a year at Saperston Legacy Advisors since 2025. Before joining Saperston Legacy Advisors in 2025, David Braunstein was registered through Brighton Securities Corp.
- – present · under a yearHamburg, NY · Adviser representative · Firm CRD 105849
- Brighton Securities Corp.– · under a yearHamburg, NY · Adviser representative · Firm CRD 3875
Investment adviser representative registrations
David Braunstein is registered as an investment adviser representative in New York, since November 2025.
- New YorkSince 6 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 22 August 2025 |
| SIE | Securities Industry Essentials Examination | Credited |
| PC | AMEX Put and Call Exam | 1 March 1980 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 January 1980 |
| Series 7 | General Securities Representative Examination | 18 December 1976 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- AMEX Put and Call Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Mark Braunstein
- CRD
- 831683
- Firm
- Saperston Legacy Advisors · CRD 105849
- Office
- 172 LAKE STREET, Hamburg, NY 14075
- Registration
- Investment adviser registration
- In the industry since
- January 1977
- Disciplinary history
- Not yet shown here · SEC record
Where does David Braunstein work?
David Braunstein is an investment adviser representative registered through Saperston Legacy Advisors, Inc. since November 2025, and is not listed among the firm’s executive officers or direct owners.
Is David Braunstein a financial advisor?
Yes. David Braunstein has a current investment-adviser registration in New York, through Saperston Legacy Advisors since November 2025.
How many years of experience does David Braunstein have?
David Braunstein has 49 years in the financial industry, since January 1977, across 2 adviser firms.
What exams has David Braunstein passed?
David Braunstein has passed 4 licensing exams: the Series 7, Series 63, PC and Series 65. The earliest, the Series 7, was passed in December 1976. FINRA credited David Braunstein with the SIE, which began in October 2018.
Where is David Braunstein based?
David Braunstein’s registered office is in Hamburg, NY.
Is David Braunstein registered with FINRA?
No. David Braunstein has no current broker registration.
How can I verify David Braunstein’s record?
Search CRD 831683 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Braunstein’s full registration record.