David L. Capin
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 Lewis Capin was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2017 - November 27, 2017
SUMMIT FINANCIAL GROUP INC
March 2, 2017 - November 27, 2017
SUMMIT BROKERAGE SERVICES, INC.
January 25, 2012 - March 14, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 10, 2012 - March 14, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 11, 2010 - January 10, 2012
MORGAN STANLEY
June 1, 2009 - October 26, 2009
MORGAN STANLEY
June 1, 2009 - January 10, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 26, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
March 18, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
July 1, 2003 - March 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 23, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 21, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - March 31, 1989
LEHMAN BROTHERS INC.
October 29, 1985 - April 11, 1988
E. F. HUTTON & COMPANY 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: 8/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
