David L. Sagers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Leland Sagers was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 5 firms and has passed the Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1993 - September 29, 2000
NETWORK CAPITAL CORPORATION
May 14, 1990 - August 22, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 14, 1990 - August 22, 1991
PRUCO SECURITIES, LLC.
March 20, 1990 - May 8, 1990
NYLIFE SECURITIES LLC
November 5, 1981 - January 19, 1989
WESTERN CAPITAL & SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NETWORK CAPITAL CORPORATION
CRD#: 1389 / SEC#: , 8-11292
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Judgment/Lien | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
