David H. Shulman
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 Harris Shulman, who also goes by Dave Shulman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2014 - February 4, 2015
FOREFRONT CAPITAL MARKETS LLC
February 5, 1996 - September 12, 2008
UBS SECURITIES LLC
April 17, 1990 - February 2, 1996
RODMAN & RENSHAW INC.
October 26, 1984 - April 20, 1990
SALOMON BROTHERS 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
Series 8
Date: 9/4/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOREFRONT CAPITAL MARKETS LLC
CRD#: 151812 / SEC#: 801-80131, 8-68402
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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