David I. Proctor
Professional summary
David Irving Proctor JR 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 professional and started their career in finance in 1984. Prior to being barred, David had worked at 6 firms, which includes L.M. KOHN & COMPANY, SUNAMERICA SECURITIES INC., SENTRY EQUITY SERVICES INC., SECURITIES AMERICA INC., CADARET GRANT & CO. INC., SECURITIES MANAGEMENT & RESEARCH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1995 - December 31, 1997
L.M. KOHN & COMPANY
March 31, 1992 - January 5, 1995
SUNAMERICA SECURITIES, INC.
January 4, 1988 - November 12, 1991
SENTRY EQUITY SERVICES, INC.
November 4, 1986 - December 11, 1987
SECURITIES AMERICA, INC.
March 21, 1985 - August 11, 1986
CADARET, GRANT & CO., INC.
September 10, 1984 - February 19, 1985
SECURITIES MANAGEMENT & RESEARCH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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