David M. Thawley
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 Milton Thawley was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1983. David had worked at 11 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
November 13, 2006 - September 11, 2007
FINANCIAL LEADERSHIP ADVISORS, INC.
May 2, 2003 - September 30, 2003
WORLD EQUITY GROUP, INC.
April 12, 2002 - January 14, 2003
WORLD GROUP SECURITIES, INC.
March 23, 1994 - April 12, 2002
WMA SECURITIES, INC.
December 21, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 2, 1991 - December 8, 1992
OSAIC WEALTH, INC.
July 7, 1989 - December 31, 1990
E.F. DALY FINANCIAL GROUP
May 4, 1989 - July 10, 1989
EQUITY ENGINEERING, INC.
May 3, 1988 - May 8, 1989
STRATEGIC EQUITIES CORPORATION
June 9, 1987 - May 23, 1988
L.R. PEGRAM SECURITIES CORPORATION
March 1, 1984 - July 27, 1987
EQUITY ENGINEERING, INC.
June 16, 1983 - July 5, 1984
PFS INVESTMENTS 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
Current firm
No current employment
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.
