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David S. Forman

Some features on this profile are disabled
CRD#: 1143810
DF

Professional summary

David Steven Forman 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 advisor and started their career in finance in 1983. Prior to being barred, David had worked at 9 firms, which includes PRIVATE CONSULTING GROUP INC., PRESIDIUM ADVISORS, PCG INVESTMENT SERVICES LLC, KESTRA INVESTMENT SERVICES LLC, THE ADVISORS GROUP INC., AMERICAN GENERAL SECURITIES INCORPORATED, MESIROW FINANCIAL INC., MAFG RIA SERVICES INC., FFP SECURITIES INC., CINCINNATI ANALYSTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Steven Foreman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 28, 2003 - December 31, 2007

PRIVATE CONSULTING GROUP, INC.

RIA
CRD#: 45053
CHERRY HILL, NJ
Past

April 2, 2003 - February 20, 2009

PRESIDIUM ADVISORS

RIA
CRD#: 120591
CHERRY HILL, NJ
Past

October 21, 2002 - December 31, 2002

PCG INVESTMENT SERVICES, LLC

RIA
CRD#: 120591
CHERRY HILL, NJ
Past

December 18, 2001 - December 31, 2007

PRIVATE CONSULTING GROUP, INC.

BD
CRD#: 45053
CHERRY HILL, NJ
Past

June 6, 2000 - January 2, 2002

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

September 14, 1998 - June 6, 2000

THE ADVISORS GROUP, INC.

BD
CRD#: 14035
BETHESDA, MD
Past

May 11, 1998 - September 27, 1998

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

June 18, 1996 - November 25, 1997

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

August 23, 1994 - July 3, 1996

MAFG RIA SERVICES, INC.

BD
CRD#: 35690
MT. LAUREL, NJ
Past

August 20, 1992 - August 23, 1994

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO
Past

June 22, 1983 - September 17, 1992

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1983
General Securities Representative Examination

Current Firm

PC
PRIVATE CONSULTING GROUP, INC.
PRIVATE CONSULTING GROUP, INC.

CRD#: 45053 / SEC#: , 8-50980

BD
Terminated by SEC on 05/29/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Oregon since 02/20/1996
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PCG HOLDING COMPANY, LLC100% OWNER
KEYS, LYNN CROSSDIRECTOR1155541
KEYS, ROBERT LEECHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER & PRESIDENT720689

Disclosures

Regulatory Event2

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.

Company Information

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

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