David A. Lofts
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 Arthur Lofts was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 8 firms and has passed the Series 63, SIE, Series 7 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 1, 2013 - June 13, 2017
SEAPORT GLOBAL SECURITIES LLC
April 12, 2011 - November 1, 2013
GLOBAL HUNTER SECURITIES, LLC
September 18, 2009 - April 8, 2011
EVOLUTION SECURITIES US INC.
February 13, 2007 - September 10, 2009
NATWEST MARKETS SECURITIES INC.
April 21, 2004 - November 9, 2006
JEFFERIES LLC
June 6, 2001 - March 25, 2004
BANC OF AMERICA SECURITIES LLC
June 25, 1999 - April 26, 2000
BANC OF AMERICA SECURITIES LLC
December 14, 1998 - June 24, 1999
CRT CAPITAL GROUP LLC
October 22, 1985 - September 11, 1995
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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