David F. Dalvey
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 Frederick Dalvey, who also goes by Dave Dalvey, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 5 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - July 18, 2017
FELTL & COMPANY
February 10, 2009 - December 23, 2015
MOUNT YALE SECURITIES, LLC
September 3, 1997 - October 10, 2000
MILLER JOHNSON STEICHEN KINNARD, INC.
January 12, 1995 - February 21, 1996
DELPHI FINANCIAL CORP.
November 21, 1989 - December 1, 1992
WESSELS, ARNOLD & HENDERSON, L.L.C.
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: 2/9/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
