David S. Veatch
Professional summary
David Scott Veatch is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1982. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Scott Veatch's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2003 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901January 2, 2002 - March 31, 2003
GREAT LAKES ADVISORS, LLC
September 23, 1998 - March 28, 2003
FOCUSED INVESTMENTS L.L.C.
April 15, 1994 - September 1, 1998
BANC ONE SECURITIES CORPORATION
July 13, 1993 - January 26, 1994
LCL INVESTMENTS, INC.
March 24, 1990 - August 4, 1993
PRUCO SECURITIES, LLC.
May 26, 1989 - September 7, 1989
INVEST FINANCIAL CORPORATION
September 29, 1982 - May 31, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 29, 1982 - May 31, 1989
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/12/2018)
(4/7/2003)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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