David B. Bell
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 Bennett Bell, who also goes by David Bennett Bell Jr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 4 firms and has passed the Series 63, SIE, Series 1 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
February 7, 2014 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 1, 2013 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 22, 1999 - October 31, 2013
FIRST HEARTLAND CAPITAL, INC.
April 3, 1985 - January 20, 1999
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 10, 1976 - August 27, 1985
HI SECURITIES, INC.
December 7, 1973 - January 6, 1976
NYLIFE SECURITIES 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
Series 1
Date: 12/13/1973
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
