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DS

David W. Svete

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CRD#: 1856531
DS

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 William Svete, who also goes by David William Suete, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1988. David had worked at 3 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David William Suete

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 27, 1995 - July 29, 1997

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

BD
CRD#: 2864
BRYAN, OH
Past

September 9, 1992 - December 20, 1994

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

November 28, 1988 - August 21, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/19/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/1995
General Securities Principal Examination

Current Firm

CC
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
CONTINENTAL CAPITAL INVESTMENT SERVICES | SKY INVESTMENTS, INC. | MUTUAL FUNDS INVESTORS CORP. | MFI INVESTMENTS CORP. | CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864 / SEC#: , 8-7865

BD
Terminated by SEC on 06/07/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 09/10/1959
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONTINENTAL CAPITAL CORP.OWNER
AYLING, JOHN RUSSELLOFFICER9294
BAKER, TAMARA ELAINEOFFICER/MUNICIPAL PRINCIPAL3017864
CAMERON, JOHN WILLIAMOFFICER /SR. VICE PRESIDENT1253957
GRUVER, DONALD LESLIECOMPLIANCE OFFICER / OPTIONS PRINCIPAL2266415
KOWALSKI, DENNIS JCONTROLLER/CHIEF FINANCIAL OFFICER/FINANCIAL PRINCIPAL2526293
LOSBY, THOMAS DAVIDCHIEF OPERATIONS OFFICER /PRESIDENT1301638
NOETHEN, BRITTANY MICHELLEVICE PRESIDENT/COMMUNICATIONS AND INFORMATION SYSTEMS2610543

Disclosures

Regulatory Event5
Civil Event1
Arbitration1

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.

Company Information

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

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