David D. Adams
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 Daniel Adams SR, who also goes by David Daniel Adams, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2000 - February 16, 2001
AUERBACH, POLLAK & RICHARDSON INC.
July 17, 2000 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
April 23, 1999 - August 14, 2000
MARION BASS SECURITIES CORPORATION
June 12, 1997 - January 21, 1998
SCHNEIDER SECURITIES, INC.
July 9, 1992 - June 16, 1997
INVESTORS ASSOCIATES, INC.
June 17, 1992 - July 2, 1992
H.J. MEYERS & CO., INC.
February 25, 1992 - May 20, 1992
CHATFIELD DEAN & CO., INC.
November 10, 1989 - March 21, 1990
ADAMS SECURITIES, INC.
April 20, 1987 - July 26, 1990
MARSHALL DAVIS, INC.
November 21, 1986 - May 20, 1987
BROOKS WEINGER ROBBINS & LEEDS 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
AUERBACH, POLLAK & RICHARDSON INC.
CRD#: 29824 / SEC#: , 8-44584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUERBACH FINANCIAL GROUP INC. | PARENT COMPANY | |
| EVISION | SHAREHOLDER | |
| BARTELS, STANLEY LEONARD | DIRECTOR OF SYNDICATE | 1011749 |
| COHEN, LEWIS HOWARD | FINOP | 1678304 |
| CONSIDINE, MICHAEL PIERCE | EXECUTIVE VP | 2789726 |
| GEORGE, MARK | SENIOR VICE PRESIDENT-SROP/DB ALEX BROWN DIVISION | 1701125 |
| REGAN, HUGH | PRESIDENT, DIRECTOR | 1254114 |
| RICH, LOUIS J | MGN DIR TRADING | 375430 |
| SANDS, JOHN KEATING | CHAIRMAN, DIRECTOR | |
| YORKE, AARON JONES IV | DIRECTOR | 701412 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
