David C. Rasmussen
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 Charles Rasmussen was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 4 firms and has passed the Series 65 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 27, 1993 - December 31, 1994
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
January 14, 1987 - February 5, 1993
LEHMAN BROTHERS INC.
November 26, 1985 - September 10, 1986
E. F. HUTTON & COMPANY INC
December 3, 1981 - December 3, 1985
KIDDER, PEABODY & CO. INCORPORATED
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
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
CRD#: 2864 / SEC#: , 8-7865
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL CAPITAL CORP. | OWNER | |
| AYLING, JOHN RUSSELL | OFFICER | 9294 |
| BAKER, TAMARA ELAINE | OFFICER/MUNICIPAL PRINCIPAL | 3017864 |
| CAMERON, JOHN WILLIAM | OFFICER /SR. VICE PRESIDENT | 1253957 |
| GRUVER, DONALD LESLIE | COMPLIANCE OFFICER / OPTIONS PRINCIPAL | 2266415 |
| KOWALSKI, DENNIS J | CONTROLLER/CHIEF FINANCIAL OFFICER/FINANCIAL PRINCIPAL | 2526293 |
| LOSBY, THOMAS DAVID | CHIEF OPERATIONS OFFICER /PRESIDENT | 1301638 |
| NOETHEN, BRITTANY MICHELLE | VICE PRESIDENT/COMMUNICATIONS AND INFORMATION SYSTEMS | 2610543 |
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 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.
