Reagan E. David
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.
Reagan Ellis David was a registered financial professional .
Reagan is a previously registered financial professional and started their career in finance in 1984. Reagan had worked at 5 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2000 - November 6, 2000
WORLD CAPITAL BROKERAGE, INC.
October 12, 1993 - September 24, 1998
CHARLES SCHWAB & CO., INC.
April 27, 1987 - June 19, 1992
FIDELITY BROKERAGE SERVICES LLC
July 26, 1985 - October 20, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 4, 1984 - August 16, 1985
NEW ENGLAND SECURITIES
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 8
Date: 6/20/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
