David F. Greenberg
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 Frederick Greenberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 13 firms and has passed the Series 63, SIE, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2003 - July 29, 2015
SPENCER-WINSTON SECURITIES CORPORATION
September 24, 2002 - September 27, 2004
METCAP SECURITIES, LLC
September 7, 2001 - May 2, 2003
EARLYBIRDCAPITAL, INC.
February 6, 2001 - December 20, 2001
SSI SECURITIES CORP.
May 5, 1997 - February 7, 2001
EARLYBIRDCAPITAL, INC.
March 18, 1996 - February 6, 2001
SSI SECURITIES CORP.
August 20, 1991 - January 2, 2001
GKN SECURITIES CORP.
June 21, 1991 - August 26, 1991
LEGEND MERCHANT GROUP, INC.
March 6, 1991 - July 16, 1991
MANCHESTER RHONE SECURITIES CORP.
December 22, 1988 - March 26, 1991
GUARDIAN EQUITIES GROUP, INC.
October 13, 1988 - February 8, 1995
VANDERBILT SECURITIES, INC.
July 6, 1987 - December 2, 1987
SPENCER-WINSTON SECURITIES CORPORATION
May 6, 1987 - June 2, 1987
YORK SECURITIES, INC.
January 9, 1986 - July 20, 1986
FIRST NEW YORK DISCOUNT CORPORATION
September 26, 1985 - July 18, 1986
M.Y. SAFRA SECURITIES, INC.
December 9, 1982 - October 14, 1985
APEX CLEARING CORPORATION
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
SPENCER-WINSTON SECURITIES CORPORATION
CRD#: 8300 / SEC#: , 8-24995
Contact information
FINRA licenses (9 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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