David M. Berkowitz
Professional summary
David Melville Berkowitz 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 1970. Prior to being barred, David had worked at 14 firms, which includes FINANCIAL WEST GROUP, AUERBACH POLLAK & RICHARDSON INC., AMERICAN FRONTEER FINANCIAL CORPORATION, SIGNAL SECURITIES INC., USA CAPITAL, USA SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, W. E. HUTTON & CO., GALLAGHER BOYLAN & COOK INC., MITCHUM JONES & TEMPLETON INCORPORATED, RAUSCHER PIERCE REFSNES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2001 - July 7, 2006
FINANCIAL WEST GROUP
December 19, 2000 - May 24, 2001
AUERBACH, POLLAK & RICHARDSON INC.
February 3, 1997 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
September 22, 1995 - January 13, 1997
SIGNAL SECURITIES, INC.
April 21, 1987 - September 28, 1995
USA CAPITAL
October 8, 1986 - March 23, 1988
USA SECURITIES, INC.
November 1, 1984 - April 3, 1985
CITIGROUP GLOBAL MARKETS INC.
October 11, 1982 - November 26, 1984
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - October 20, 1982
UBS FINANCIAL SERVICES INC.
April 1, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 5, 1972 - December 1, 1973
W. E. HUTTON & CO.
November 3, 1971 - June 15, 1972
GALLAGHER, BOYLAN & COOK, INC.
November 12, 1970 - October 23, 1971
MITCHUM, JONES & TEMPLETON INCORPORATED
November 2, 1970 - November 4, 1986
RAUSCHER PIERCE REFSNES, 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
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 000
Date: 11/2/1970
General Securities Principal ExaminationSeries 1
Date: 11/2/1970
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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