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DS

David E. Seagren

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CRD#: 1180218
DS

Professional summary

David Earl Anard Seagren 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 1984. Prior to being barred, David had worked at 5 firms, which includes FORTUNE FINANCIAL SERVICES INC., CETERA WEALTH SERVICES LLC, BLUE VASE SECURITIES LLC, 1717 CAPITAL MANAGEMENT COMPANY, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Seagren

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

January 3, 2006 - January 21, 2014

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
RENO, PA
Past

October 24, 2005 - December 31, 2005

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
RENO, PA
Past

October 24, 2005 - December 31, 2005

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
RENO, PA
Past

April 23, 2003 - December 31, 2005

BLUE VASE SECURITIES, LLC

RIA
CRD#: 46765
RENO, PA
Past

October 9, 2001 - October 24, 2005

BLUE VASE SECURITIES, LLC

BD
CRD#: 46765
RENO, PA
Past

November 11, 1997 - October 16, 2001

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

September 13, 1984 - December 5, 1997

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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: 1/6/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/12/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FF
FORTUNE FINANCIAL SERVICES, INC.
FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3582 Brodhead Road Suite 202, Monaca, PA 15061
Mailing Address
P.o. Box 238, Monaca, PA 15061
Phone number
(724) 846-2488
Established
Pennsylvania since 10/21/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DANIELS, BLAKE WILLIAMCHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO1285106
DANIELS, BRIAN LEEOWNER1213561
BENTLEY, GREGORY JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER705379
PINTARIC, WILLIAM RICHARD JRCHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEECHIEF OPERATIONS OFFICER, FINOP, PFO, POO4794021

Disclosures

Regulatory Event4

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

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

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