John A. Davey
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.
John Alan Davey was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 7 firms and has passed the Series 63, Series 66, SIE, 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
May 14, 2015 - April 25, 2017
MULTI-BANK SECURITIES, INC.
January 25, 2012 - March 26, 2013
MANNING & NAPIER ADVISORS, LLC
January 25, 2012 - March 26, 2013
MANNING & NAPIER INVESTOR SERVICES, INC.
December 18, 2000 - April 6, 2004
UBS ASSET MANAGEMENT (US) INC.
January 1, 1997 - February 1, 2000
GOLDMAN SACHS & CO. LLC
February 13, 1996 - December 19, 1996
LEHMAN BROTHERS INC.
November 23, 1988 - February 14, 1991
FUNDS DISTRIBUTOR, 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
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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