David W. Unsworth
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 Woods Unsworth JR, who also goes by Chip Unsworth Jr, Chip Unsworth, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, 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
May 21, 2012 - December 31, 2017
LEGEND MERCHANT GROUP, INC.
April 30, 2012 - March 24, 2017
NATIONAL SECURITIES CORPORATION
April 9, 2012 - April 20, 2012
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
April 9, 2012 - April 20, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
October 5, 2004 - May 11, 2012
LEGEND MERCHANT GROUP, INC.
December 20, 2001 - May 11, 2012
LEGEND MERCHANT GROUP, INC.
January 22, 1999 - December 19, 2001
JESUP & LAMONT SECURITIES CORP
January 17, 1994 - October 27, 1998
GILFORD SECURITIES INCORPORATED
September 25, 1990 - August 31, 1993
GRUNTAL & CO., L.L.C.
August 15, 1989 - August 21, 1990
CIBC WORLD MARKETS CORP.
November 23, 1987 - August 15, 1989
MOORE & SCHLEY, CAMERON & CO.
January 21, 1987 - September 1, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 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.
