David T. Owen
Professional summary
David Thomas Owen III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, David had worked at 7 firms, which includes INVEST FINANCIAL CORPORATION, QUESTAR CAPITAL CORPORATION, QUESTAR ASSET MANAGEMENT INC., USALLIANZ SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES, BUTLER WICK & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2009 - December 11, 2015
INVEST FINANCIAL CORPORATION
October 21, 2008 - December 11, 2015
INVEST FINANCIAL CORPORATION
December 1, 2006 - October 24, 2008
QUESTAR CAPITAL CORPORATION
July 25, 2006 - October 27, 2008
QUESTAR ASSET MANAGEMENT, INC.
May 15, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
October 18, 1999 - May 17, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 3, 1991 - May 17, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 22, 1988 - April 16, 1991
EDWARD JONES
April 20, 1983 - January 23, 1988
BUTLER, WICK & CO., INC.
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 8
Date: 1/11/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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