David A. Green
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 Aaron Green, who also goes by David Green, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 6 firms and has passed the Series 63 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
June 1, 1999 - February 29, 2000
HAPOALIM SECURITIES USA, INC.
April 22, 1996 - June 1, 1999
STUART, COLEMAN & CO., INC.
September 29, 1995 - May 2, 1996
WEATHERLY SECURITIES CORPORATION
July 6, 1992 - October 26, 1995
UBS FINANCIAL SERVICES INC.
May 24, 1990 - June 26, 1992
FINANCIAL SQUARE PARTNERS
December 9, 1988 - June 28, 1990
CIBC WORLD MARKETS CORP.
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
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
