David M. Cooper
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 Mark Cooper, who also goes by David Novell, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 8 firms and has passed the Series 63, Series 55, Series 7, 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
June 3, 2009 - December 15, 2009
PCS DUNBAR SECURITIES, LLC
July 13, 2006 - April 30, 2009
GLB TRADING, INC
September 23, 2002 - June 28, 2006
CARLIN EQUITIES, LLC
February 6, 2002 - October 22, 2002
KSH INVESTMENT GROUP, INC.
July 19, 2001 - February 8, 2002
CARLIN EQUITIES, LLC
February 6, 2001 - July 23, 2001
EARLYBIRDCAPITAL, INC.
December 4, 2000 - January 10, 2001
EARLYBIRDCAPITAL, INC.
April 5, 1994 - January 10, 2001
GKN SECURITIES CORP.
January 14, 1994 - March 25, 1994
SCHONFELD SECURITIES, LLC
September 16, 1983 - January 25, 1984
FORESTERS FINANCIAL SERVICES, 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 55
Date: 1/18/2003
Limited Representative-Equity Trader ExamCurrent Firm
PCS DUNBAR SECURITIES, LLC
CRD#: 128144 / SEC#: , 8-66097
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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