David M. Braunstein
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 Marshall Braunstein was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2003 - May 3, 2021
KVB CAPITAL LLC
January 8, 1998 - December 31, 2002
RIVERSTONE WEALTH MANAGEMENT, INC.
November 10, 1997 - December 2, 1997
RIVERSTONE WEALTH MANAGEMENT, INC.
January 29, 1997 - January 12, 1998
COMVEST PARTNERS, INC.
July 31, 1996 - January 1, 1997
HOAK BREEDLOVE WESNESKI & CO.
April 20, 1995 - August 12, 1996
SC SECURITIES CORP.
January 23, 1995 - April 5, 1995
GS2 SECURITIES, INC.
July 16, 1993 - January 11, 1995
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 25, 1992 - July 16, 1993
BBVA COMPASS INVESTMENT SOLUTIONS, INC
State Registrations and Notice Filings
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Exams
Current Firm
KVB CAPITAL LLC
CRD#: 123489 / SEC#:
Contact information
Red Flags
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