David R. Kotok
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 Raphael Kotok, who also goes by David Rafael Kotok, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 3 firms and has passed the Series 63, Series 65 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2003 - November 30, 2005
CUMBERLAND BROKERAGE CORPORATION
June 8, 1999 - June 23, 2003
RYAN BECK & CO.
April 3, 1998 - March 5, 2025
CUMBERLAND ADVISORS
March 6, 1998 - June 23, 2003
RYAN BECK & CO.
July 27, 1983 - May 6, 1998
CUMBERLAND BROKERAGE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CUMBERLAND BROKERAGE CORPORATION
CRD#: 13409 / SEC#: , 8-42993
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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