David L. Cundy
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 Lee Cundy was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2015 - May 23, 2016
KESTRA INVESTMENT SERVICES, LLC
April 2, 2002 - June 28, 2013
THE LEADERS GROUP, INC.
June 19, 2001 - April 18, 2002
OSAIC FS, INC.
April 30, 1999 - June 19, 2001
HORNOR, TOWNSEND & KENT, LLC
July 16, 1996 - May 3, 1999
MUTUAL SERVICE CORPORATION
August 19, 1993 - July 17, 1996
OSAIC WEALTH, INC.
August 31, 1990 - September 14, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 14, 1987 - June 29, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 14, 1987 - June 29, 1990
EQUITABLE ADVISORS, 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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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