David Nathanson

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CRD#: 1335062

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 Nathanson was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 63, Series 65, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 4, 2007 - June 7, 2022

VINING-SPARKS IBG, LLC

CRD#: 27502

FORT LAUDERDALE, FL

Past

March 13, 2007 - June 7, 2007

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

February 15, 2007 - June 7, 2007

STERNE, AGEE & LEACH, INC.

CRD#: 791

BOCA RATON, FL

Past

June 24, 2004 - December 14, 2006

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MIAMI, FL

Past

June 17, 2004 - December 14, 2006

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MIAMI, FL

Past

July 1, 2003 - June 17, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

July 1, 2003 - June 17, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 3, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

MIAMI, FL

Past

June 13, 1990 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 14, 1988 - May 7, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 19, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/20/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/15/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Current Firm

VINING-SPARKS IBG, LLC

VINING SPARKS | VINING-SPARKS INVESTMENT BANKERS GROUP, L. P. | VINING-SPARKS IBG, LLC | VINING-SPARKS IBG, LIMITED PARTNERSHIP

CRD#: 27502 / SEC#: , 8-43150

Terminated by SEC on 11/26/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 10/27/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
COLEMAN, KAREN SUE	PRINCIPAL FINANCIAL OFFICER	1485120
GLADNEY, HAROLD LAMAR	CHIEF COMPLIANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER	1189322
MEDFORD, MARK ANTHONY	PRESIDENT/CEO/CHAIRMAN	5582726
SHEA, MARTIN FLANAGAN JR.	EVP & GENERAL COUNSEL	4697655

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

David Nathanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/1997

Series 65

Date: 5/15/1997

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Current Firm

VINING-SPARKS IBG, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VINING-SPARKS IBG, LLC

TRUST BUT VERIFY

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