David A. Fernandes
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 Andrew Fernandes, who also goes by David A Fernandes, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 62 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - July 16, 2013
CAPE SECURITIES INC.
June 10, 2008 - April 13, 2009
TD AMERITRADE, INC.
May 29, 2008 - April 13, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 29, 2008 - April 13, 2009
TD AMERITRADE, INC.
June 14, 2006 - August 6, 2007
NRP FINANCIAL, INC.
June 3, 2005 - December 19, 2005
MUTUAL SERVICE CORPORATION
May 26, 2005 - December 19, 2005
MUTUAL SERVICE CORPORATION
January 31, 2005 - April 11, 2005
CUNA BROKERAGE SERVICES, INC.
January 31, 2005 - April 11, 2005
CUNA BROKERAGE SERVICES, INC.
February 4, 2003 - August 12, 2004
CHARLES SCHWAB & CO., INC.
August 31, 1993 - August 12, 2004
CHARLES SCHWAB & CO., INC.
July 27, 1993 - August 20, 1993
FLEET BROKERAGE SECURITIES, INC.
April 25, 1990 - August 28, 1992
MORGAN STANLEY DW INC.
January 13, 1989 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
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
Series 62
Date: 12/15/1988
Corporate Securities Limited Representative ExaminationSeries 8
Date: 6/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
