David D. Dube
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 Donald Dube was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 9 firms and has passed the Series 65, Series 63, Series 87, Series 55, Series 15, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2008 - September 10, 2009
FUSION ANALYTICS SECURITIES LLC
September 12, 2005 - August 23, 2006
REDWOOD BROKERAGE LLC
November 10, 2004 - August 9, 2005
ACCESS SECURITIES, LLC
July 15, 1998 - February 4, 2004
UBS SECURITIES LLC
June 6, 1995 - June 17, 1998
SANDS BROTHERS & CO., LTD.
March 29, 1989 - May 16, 1995
FINANCIAL SQUARE PARTNERS
April 28, 1986 - March 21, 1989
LEHMAN BROTHERS INC.
February 11, 1986 - April 11, 1986
TROSTER SINGER CORPORATION
March 1, 1983 - May 17, 1984
EASTERN CAPITAL CORPORATION
February 7, 1983 - June 14, 1984
EASTERN CAPITAL 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
Series 55
Date: 10/29/1998
Limited Representative-Equity Trader ExamSeries 15
Date: 12/8/1983
Foreign Currency Options ExaminationSeries 8
Date: 8/12/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FUSION ANALYTICS SECURITIES LLC
CRD#: 124245 / SEC#: , 8-65649
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
Red Flags
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