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David George Ghysels Jr

CRD# 1207917·Registered 1983 - 2005
Barred: David George Ghysels JR was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

David George Ghysels JR was a registered financial advisor. David was a previously registered financial advisor and started their career in finance 1983 - 2005. David had worked at 8 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

APAX INVESTMENTS LIMITED, INC.·CRD# 136087
RIA
West Palm Beach, FL
July 7, 2005 - December 31, 2005
GEOFFREY RICHARDS SECURITIES CORP.·CRD# 120007
BD
Hypoluxo, FL
June 3, 2005 - August 25, 2005
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
RIA
Boca Raton, FL
April 30, 2003 - June 27, 2005
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
April 11, 2003 - June 27, 2005
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
March 27, 2001 - April 3, 2003
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
January 13, 2001 - April 12, 2001
DB ALEX. BROWN LLC·CRD# 17790
BD
Baltimore, MD
September 1, 1997 - January 13, 2001
ALEX. BROWN & SONS INCORPORATED·CRD# 20
BD
May 17, 1988 - September 1, 1997
JOHNSTON, LEMON & CO. INCORPORATED·CRD# 473
BD
November 22, 1983 - May 24, 1988

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1994About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1983About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Jan 2005About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Nov 1983About the Series 7 exam

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CRS (Client Relationship Summary)

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

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