David J. Stennes
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 James Stennes was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 12 firms and has passed the Series 63, Series 65, Series 7, Series 6 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
June 20, 2012 - December 7, 2012
SAYBRUS EQUITY SERVICES, LLC
February 1, 2011 - May 23, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
May 29, 2009 - October 30, 2009
BELLEVUE CHICAGO, LLC
January 16, 2008 - May 6, 2009
FINANCIAL WEST GROUP
January 28, 2002 - December 13, 2005
PARKLAND SECURITIES, LLC
June 11, 1999 - December 3, 2001
WOODBURY FINANCIAL SERVICES, INC.
December 8, 1997 - June 11, 1999
VOYA FINANCIAL ADVISORS, INC.
August 7, 1996 - August 21, 1997
JOHN HANCOCK DISTRIBUTORS LLC
November 29, 1994 - July 31, 1996
HORNOR, TOWNSEND & KENT, LLC
July 24, 1989 - August 9, 1990
MONARCH SECURITIES, INC.
November 5, 1987 - May 19, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 5, 1987 - May 19, 1989
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
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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