David L. Tankin
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 Louis Tankin was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 5 firms and has passed the Series 63, Series 7TO, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2023 - December 20, 2024
FROST BROKERAGE SERVICES, INC.
November 21, 2022 - December 20, 2024
FROST INVESTMENT SERVICES
August 17, 2015 - May 9, 2022
FROST INVESTMENT ADVISORS, LLC
April 21, 2009 - July 23, 2009
CROSS POINT CAPITAL LLC
March 2, 1983 - December 6, 1983
TRACAPCO, LTD
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
Series 7TO
Date: 3/13/2023
General Securities Representative ExaminationCurrent Firm
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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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