David M. Feldman
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 Michael Feldman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2010 - January 26, 2015
BARON CAPITAL, INC.
November 28, 2005 - March 5, 2009
BOFA ADVISORS, LLC
March 1, 1995 - March 5, 2009
BOFA DISTRIBUTORS, INC.
February 2, 1990 - March 1, 1995
COLONIAL INVESTMENT SERVICES
August 20, 1987 - February 2, 1990
COLONIAL INVESTMENT SERVICES, 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
Current Firm
BARON CAPITAL, INC.
CRD#: 10538 / SEC#: , 8-27533
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARON CAPITAL GROUP, INC. | SHAREHOLDER | |
| BARON, RONALD STEPHEN | DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 13187 |
| BALTOVSKI, ALEXANDER | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BARON, DAVID ROBERT | DIRECTOR | 3245808 |
| BARON, MICHAEL R. | DIRECTOR | 4393612 |
| BEASLEY, LOUIS BARRETT | CHIEF COMPLIANCE OFFICER | 3156061 |
| GREENBERG, CLIFFORD | DIRECTOR AND SENIOR VICE PRESIDENT | 2292041 |
| NAGLER, ANITA MARIE | DIRECTOR | 2503631 |
| PATALINO, PATRICK MICHAEL | SVP, CHIEF OPERATING OFFICER | 4481185 |
| PECK, ANDREW JOSHUA | DIRECTOR AND SENIOR VICE PRESIDENT | 5348729 |
| ROBBINS, SUSAN JAN | DIRECTOR AND VICE PRESIDENT | 840688 |
| TREGLIA, KRISTINE F | VP, CHIEF LEGAL OFFICER | 6384500 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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