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David K. Evansen

Some features on this profile are disabled
CRD#: 1579910
DE

Professional summary

David Kristian Evansen was barred by the FINRA 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 1986. Prior to being barred, David had worked at 11 firms, which includes JESUP & LAMONT SECURITIES CORP, VFINANCE INVESTMENTS INC, NEWBRIDGE SECURITIES CORPORATION, ELECTRONIC ACCESS DIRECT INC., SUNSTATE EQUITY TRADING, BARRON CHASE SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., JW GENESIS CLEARING CORP., J. W. GANT & ASSOCIATES INC., MICHELIN AND COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 11, 2009 - July 14, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOCA RATON, FL
Past

August 7, 2007 - August 23, 2007

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

October 20, 2003 - May 6, 2009

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

January 9, 2003 - October 20, 2003

ELECTRONIC ACCESS DIRECT, INC.

BD
CRD#: 36975
SARASOTA, FL
Past

July 30, 2002 - December 20, 2002

SUNSTATE EQUITY TRADING

BD
CRD#: 43571
TAMPA, FL
Past

June 8, 2000 - July 10, 2000

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

April 11, 1994 - May 26, 2000

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

September 8, 1992 - May 10, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 23, 1990 - September 22, 1992

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 20, 1987 - March 14, 1990

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

January 2, 1987 - February 26, 1987

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

October 23, 1986 - January 2, 1987

MICHELIN AND COMPANY, INC.

BD
CRD#: 14447

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/20/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination

Current Firm

J&
JESUP & LAMONT SECURITIES CORP
BROADMARK CAPITAL CORP | JESUP & LAMONT SECURITIES CORP. | JESUP & LAMONT SECURITIES CORP | BROADMARK SECURITIES CORPORATION | BROADMARK CAPITAL CORP.

CRD#: 39056 / SEC#: , 8-48893

BD
Terminated by SEC on 11/23/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 07/27/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JESUP AND LAMONT, INCOWNER
HOLUB, WILLIAM CFINOP, CFO, COO, CCO2680290

Disclosures

Regulatory Event15
Arbitration3

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.

Company Information

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

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