David B. Schoon
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 Bruce Schoon was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2001 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
April 10, 1996 - October 26, 2000
D.E. FREY & COMPANY, INC.
November 30, 1995 - March 21, 1996
FIRST COLONIAL SECURITIES
April 24, 1987 - August 22, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 1, 1986 - August 22, 1990
ROBERT W. BAIRD & CO. INCORPORATED
February 1, 1985 - December 4, 1986
MUTUAL SERVICE CORPORATION
August 31, 1983 - February 4, 1985
OBERWEIS SECURITIES, INC.
October 29, 1981 - August 1, 1983
THOMSON MCKINNON 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
THE CONCORD EQUITY GROUP, LLC
CRD#: 14569 / SEC#: , 8-35226
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Bond | 1 |
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.
