David S. Finkel
Professional summary
David Solomon Finkel 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 1990. Prior to being barred, David had worked at 9 firms, which includes ALEX MOORE & COMPANY INC., NEUTRAL SWITCH INC., BG CAPITAL INC., CORTLANDT CAPITAL CORPORATION, GLOBAL ACCESS FINANCIAL SERVICES, BARBER & BRONSON INCORPORATED, ROBERT M. COHEN & CO. INC., CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1998 - August 25, 2000
ALEX MOORE & COMPANY, INC.
December 10, 1997 - April 22, 1998
NEUTRAL SWITCH, INC.
March 5, 1997 - April 25, 1997
BG CAPITAL, INC.
November 17, 1995 - March 6, 1997
CORTLANDT CAPITAL CORPORATION
March 14, 1995 - November 28, 1995
GLOBAL ACCESS FINANCIAL SERVICES
August 9, 1994 - March 13, 1995
BARBER & BRONSON INCORPORATED
April 23, 1992 - August 15, 1994
ROBERT M. COHEN & CO., INC.
November 24, 1990 - April 29, 1992
CHATFIELD DEAN & CO., INC.
February 23, 1990 - December 3, 1990
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
ALEX MOORE & COMPANY, INC.
CRD#: 28062 / SEC#: , 8-43029
Contact information
Documents
Disclosures
| Regulatory Event | 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.
