David M. Barnes
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 Moore Victor Barnes, who also goes by David Moore VIctor Barnes, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2023 - May 7, 2024
PALM TREE SECURITIES LLC
September 15, 2021 - August 9, 2023
MERIT SECURITIES, LLC
June 12, 2017 - February 26, 2020
COWEN AND COMPANY
August 7, 2013 - July 17, 2017
JDF CAPITAL ADVISORS, LLC
June 6, 2011 - September 14, 2012
IMPERIAL CAPITAL, LLC
February 28, 2000 - April 11, 2011
HOULIHAN LOKEY CAPITAL, INC.
December 24, 1996 - May 27, 1998
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PALM TREE SECURITIES LLC
CRD#: 307831 / SEC#: , 8-70505
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
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