David W. Pistorius
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 Wayne Pistorius was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 4 firms and has passed the Series 63, SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2003 - August 18, 2023
FIRST MIDSTATE INCORPORATED
October 4, 1994 - June 1, 1999
MML INVESTORS SERVICES, LLC
May 31, 1983 - September 30, 1994
EQUITABLE ADVISORS, LLC
October 17, 1980 - September 30, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Exams
Current Firm
FIRST MIDSTATE INCORPORATED
CRD#: 4300 / SEC#: , 8-11575
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, PAUL DAVIS | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1031376 |
Disclosures
| Regulatory Event | 3 |
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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