Unis P. Davis
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.
Unis Pearl Davis, who also goes by Unis P Davis, Unis Pearl Davis II, was a registered financial professional .
Unis is a previously registered financial professional and started their career in finance in 1987. Unis had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2012 - August 31, 2016
AMERICAN EQUITY INVESTMENT CORPORATION
April 19, 2005 - December 31, 2009
THE LEADERS GROUP, INC.
May 21, 1999 - December 31, 2003
WATERSTONE FINANCIAL GROUP, INC.
July 13, 1998 - April 8, 1999
SIGNATOR INVESTORS, INC.
November 21, 1994 - July 6, 1998
WS GRIFFITH SECURITIES, INC.
May 21, 1993 - October 10, 1994
INVESTACORP, INC.
August 28, 1991 - May 27, 1993
FOUNTAINHEAD FINANCIAL, INC.
June 26, 1990 - August 16, 1991
OSAIC FS, INC.
December 23, 1987 - May 8, 1990
AMERIPRISE FINANCIAL SERVICES, 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
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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.
