David H. Disraeli
Professional summary
David Henry Disraeli was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, David had worked at 9 firms, which includes 1ST DISCOUNT BROKERAGE INC., JAMES WHEELER & CO. INVESTMENTS INC., SECURITIES SERVICE NETWORK LLC, SUNAMERICA SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., GREEN HILL FINANCIAL SERVICE CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2005 - June 13, 2006
1ST DISCOUNT BROKERAGE, INC.
August 28, 2003 - December 9, 2003
1ST DISCOUNT BROKERAGE, INC.
March 29, 2001 - October 31, 2002
JAMES WHEELER & CO. INVESTMENTS, INC.
August 20, 1998 - February 18, 1999
JAMES WHEELER & CO. INVESTMENTS, INC.
March 6, 1996 - January 16, 1998
SECURITIES SERVICE NETWORK, LLC
January 31, 1994 - November 22, 1994
SECURITIES SERVICE NETWORK, LLC
November 6, 1992 - February 2, 1994
SUNAMERICA SECURITIES, INC.
January 30, 1991 - November 13, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1988 - January 30, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 16, 1986 - September 1, 1988
MORGAN STANLEY DW INC.
June 30, 1986 - October 15, 1986
UBS FINANCIAL SERVICES INC.
December 6, 1985 - May 16, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
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
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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