David W. Marvin
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 William Marvin, who also goes by Dave Marvin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
August 8, 2016 - December 31, 2016
EDI FINANCIAL, INC.
February 19, 2016 - July 7, 2016
ALEXANDER CAPITAL, L.P.
December 3, 2008 - October 21, 2015
REALTY CAPITAL SECURITIES, LLC
June 21, 2007 - November 25, 2008
LIGHTSTONE SECURITIES, LLC
September 28, 1995 - May 21, 2007
CAREY FINANCIAL, LLC
February 16, 1994 - November 10, 1994
USAFFINITY INVESTMENTS LIMITED PARTNERSHIP
October 5, 1993 - November 11, 1993
KIDDER, PEABODY & CO. INCORPORATED
March 27, 1992 - June 25, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 25, 1989 - December 30, 1992
CIGNA CAPITAL BROKERAGE, INC.
December 8, 1986 - August 7, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 21, 1985 - November 24, 1986
VMS SECURITIES, INC.
March 22, 1983 - November 20, 1984
PRUDENTIAL EQUITY GROUP, 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
Exams
Current Firm
EDI FINANCIAL, INC.
CRD#: 15699 / SEC#: , 8-32566
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
