David J. Stone
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 Jennings Stone was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2023 - December 31, 2024
PROTECTED FUTURE, LLC
August 29, 2018 - December 31, 2021
PROTECTED FUTURE, LLC
February 27, 2014 - December 5, 2014
FOREST SECURITIES,INC.
February 8, 2013 - April 18, 2013
GREAT POINT CAPITAL LLC
July 20, 2010 - February 2, 2011
LAIDLAW & COMPANY (UK) LTD.
December 22, 2008 - July 8, 2010
JESUP & LAMONT SECURITIES CORP
May 31, 2007 - April 9, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
May 24, 2007 - April 9, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 2006 - September 7, 2006
ARVEST WEALTH MANAGEMENT
February 24, 2006 - September 7, 2006
ARVEST WEALTH MANAGEMENT
July 1, 2003 - December 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 3, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1993 - January 31, 1995
RAUSCHER PIERCE REFSNES, INC.
March 25, 1987 - September 23, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 8
Date: 2/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PROTECTED FUTURE, LLC
CRD#: 174821 / SEC#:
Contact information
Red Flags
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