David M. Rondeau
Professional summary
David Michael Rondeau was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, David had worked at 7 firms, which includes FINANCIAL WORLD CORPORATION, LH ROSS & COMPANY INC., SCHNEIDER SECURITIES INC., WOODSTOCK FINANCIAL GROUP INC., STERLING FINANCIAL INVESTMENT GROUP INC., SUNPOINT SECURITIES INC., THE CAMELOT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2004 - April 28, 2005
FINANCIAL WORLD CORPORATION
October 7, 2002 - April 20, 2004
LH ROSS & COMPANY, INC.
September 6, 2001 - April 10, 2002
SCHNEIDER SECURITIES, INC.
December 15, 1999 - January 25, 2001
WOODSTOCK FINANCIAL GROUP, INC.
December 1, 1999 - December 15, 1999
STERLING FINANCIAL INVESTMENT GROUP, INC.
May 14, 1998 - November 19, 1999
SUNPOINT SECURITIES, INC.
April 8, 1998 - May 19, 1998
THE CAMELOT GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL WORLD CORPORATION
CRD#: 41377 / SEC#: , 8-49397
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERVERT, BRADLEY ALLAN | CHIEF EXECTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 2563245 |
| HANSON, SHERRY CONSTANCE | COMMON SHAREHOLDER | |
| THE HEDGE FUND, LLC | COMMON SHAREHOLDER | |
| BAHM, DARIN KEITH | COMMON SHAREHOLDER | 2850903 |
| BELL, WILLIAM KENNETH JR | REGISTERED REPRESENTATIVE | |
| BLUNT, MICHAEL EUGENE | BRANCH MANAGER | 2778238 |
| ORENSTEIN, HEYWOOD SETH | PRESIDENT | 2755281 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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