David A. Ventura
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 Anthony Ventura was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 20 firms and has passed the Series 65, Series 63, SIE 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
December 3, 2015 - November 4, 2016
NATIONAL SECURITIES CORPORATION
February 2, 2015 - December 4, 2015
VFINANCE INVESTMENTS, INC
February 18, 2009 - December 15, 2014
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
February 18, 2009 - December 15, 2014
J.P. TURNER & COMPANY, L.L.C.
March 28, 2008 - February 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2008 - February 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - April 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 19, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 19, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 12, 2006 - June 19, 2006
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
February 27, 2006 - June 20, 2006
J.P. TURNER & COMPANY, L.L.C.
June 29, 2005 - February 28, 2006
SALOMON GREY FINANCIAL CORPORATION
September 14, 2004 - July 5, 2005
B. RILEY WEALTH ADVISORS, INC.
July 16, 2001 - July 5, 2005
NATIONAL SECURITIES CORPORATION
September 13, 2000 - July 5, 2001
MORGAN STANLEY DW INC.
October 20, 1997 - October 6, 1998
FIRST MONTAUK SECURITIES CORP.
March 14, 1997 - June 9, 1997
LABRANCHE FINANCIAL SERVICES, LLC
October 11, 1994 - December 31, 1996
FIRST MONTAUK SECURITIES CORP.
October 18, 1993 - June 10, 1994
JOSEPHTHAL & CO., INC.
August 22, 1990 - September 17, 1993
REICH & CO., INC.
October 6, 1989 - August 27, 1990
WORLD FINANCIAL SERVICES, INC.
February 15, 1989 - March 2, 1989
UNDERHILL ASSOCIATES, INCORPORATED
July 22, 1987 - August 27, 1990
WORLD FINANCIAL SERVICES, INC.
November 24, 1986 - March 17, 1987
NICHOLAS, LAWRENCE & CO. INC.
February 12, 1986 - December 1, 1986
HOMESTEAD SECURITIES, INC.
October 10, 1985 - December 5, 1985
HOMESTEAD SECURITIES, INC.
April 22, 1985 - August 19, 1985
UNDERHILL ASSOCIATES, INCORPORATED
December 4, 1984 - March 21, 1985
MARVEST SECURITIES, INC.
March 9, 1984 - December 7, 1984
FIRST MONMOUTH SECURITIES CORP.
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
