David W. Sayles
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 Ward Sayles, who also goes by David Sayles, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 4 firms and has passed the Series 65, Series 63, 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
May 5, 2015 - September 4, 2015
HARVEST CAPITAL ADVISORS INC.
March 11, 1997 - May 6, 2013
CHARLES SCHWAB & CO., INC.
February 6, 1992 - May 6, 2013
CHARLES SCHWAB & CO., INC.
May 22, 1989 - January 28, 1992
WAMU INVESTMENTS, INC.
November 23, 1988 - April 19, 1989
HARRIS INVESTORLINE 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: 11/10/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HARVEST CAPITAL ADVISORS INC.
CRD#: 126150 / SEC#: 801-61928
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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