David G. Apetz
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 G Apetz, who also goes by David Griffiths Apetz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 12 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 5, 2012 - September 25, 2012
CALDWELL INTERNATIONAL SECURITIES
June 20, 2003 - July 29, 2003
NEW YORK GLOBAL SECURITIES, INC.
July 2, 2001 - July 26, 2001
GRAYSON FINANCIAL LLC
October 27, 2000 - December 18, 2000
POST-LANE & CO., LLC
May 31, 2000 - June 5, 2000
BLUESTONE CAPITAL CORP.
August 19, 1998 - May 30, 2000
J.W. BARCLAY & CO., INC.
August 6, 1998 - August 24, 1998
HD BROUS & CO., INC.
May 19, 1998 - August 27, 1998
BRILL SECURITIES, INC.
January 7, 1998 - April 24, 1998
J.W. BARCLAY & CO., INC.
October 21, 1997 - January 9, 1998
FIRST METROPOLITAN SECURITIES, INC.
January 17, 1997 - October 24, 1997
SHAMUS GROUP, INC.
February 3, 1995 - February 19, 1997
BLUESTONE CAPITAL CORP.
June 2, 1993 - February 2, 1995
D. H. BLAIR & CO., INC.
April 19, 1988 - June 9, 1988
BLINDER, ROBINSON & CO., INC.
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
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
