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David L. Carlson

Some features on this profile are disabled
CRD#: 1071647
DC

Professional summary

David Leroy Carlson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, David had worked at 10 firms, which includes LIGHTHOUSE CAPITAL CORPORATION, CHELSEA FINANCIAL SERVICES, MADISON AVENUE SECURITIES LLC, KALOS CAPITAL INC., M HOLDINGS SECURITIES INC., MUTUAL SERVICE CORPORATION, GS2 SECURITIES INC., OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Carlson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 23, 2009 - January 12, 2011

LIGHTHOUSE CAPITAL CORPORATION

BD
CRD#: 41812
MONTEREY, CA
Past

February 9, 2009 - March 25, 2009

LIGHTHOUSE CAPITAL CORPORATION

BD
CRD#: 41812
MONTEREY, CA
Past

November 6, 2008 - February 6, 2009

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

February 24, 2006 - December 4, 2007

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
SIMI VALLEY, CA
Past

March 11, 2005 - September 1, 2005

KALOS CAPITAL, INC.

BD
CRD#: 44337
ALPHARETTA, GA
Past

December 17, 2001 - March 3, 2005

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
PORTLAND, OR
Past

March 6, 1996 - December 31, 2001

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

February 1, 1990 - February 24, 1996

GS2 SECURITIES, INC.

BD
CRD#: 14745
MILWAUKEE, WI
Past

November 19, 1989 - January 31, 1990

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

January 21, 1988 - December 31, 1988

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

February 11, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

February 14, 1983 - March 4, 1985

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/12/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/11/1983
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LC
LIGHTHOUSE CAPITAL CORPORATION
LIGHTHOUSE CAPITAL CORPORATION | MAYNARD & ASSOCIATES | LIGHTHOUSE INVESTMENT ADVISORS, LLC

CRD#: 41812 / SEC#: , 8-49576

BD
Terminated by SEC on 02/21/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/12/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ZAMECKI, ROBERT JOHNSHAREHOLDER, PRESIDENT, CEO, CCO475757
DACUMOS, MARY ELLENFINANCIAL OPERATIONS OFFICER1141623

Disclosures

Regulatory Event4
Arbitration1

Red Flags

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Company Information

LIGHTHOUSE CAPITAL CORPORATION

CRD#: 41812

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