David L. Hagans
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 Lebron Hagans, who also goes by David Lebron Hagans Sr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 6 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
February 18, 1997 - September 29, 1998
JOSEPHTHAL & CO., INC.
February 5, 1992 - March 3, 1993
BARRETT DAY SECURITIES, INC.
May 25, 1989 - February 25, 1992
SOUTH RICHMOND SECURITIES, INC.
December 22, 1988 - May 24, 1989
J F LOWE & COMPANY INCORPORATED
January 4, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
July 23, 1985 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
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
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
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.
