David T. Cawthon
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 Todd Cawthon was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 11 firms and has passed the Series 63, Series 3, Series 7 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
November 17, 2004 - May 3, 2005
LAIDLAW & COMPANY (UK) LTD.
May 17, 2001 - December 11, 2002
MORGAN SPAULDING, INC.
February 14, 2001 - April 20, 2001
RICHMARK CAPITAL CORPORATION
April 1, 1999 - December 2, 1999
CAPITAL SECURITIES OF AMERICA, INC.
November 7, 1995 - December 15, 1997
ATLANTIC PACIFIC FINANCIAL, INC.
September 20, 1995 - October 19, 1995
FIRST ASSET MANAGEMENT, INC.
July 22, 1994 - May 10, 1995
FIRST ASSET MANAGEMENT, INC.
June 30, 1994 - May 10, 1995
FIRST ASSET MANAGEMENT, INC.
September 20, 1993 - June 28, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
March 23, 1993 - August 30, 1993
NORTHEAST SECURITIES, LLC
November 13, 1992 - April 12, 1993
FIRST ASSET MANAGEMENT, INC.
September 10, 1992 - November 19, 1992
NORTHEAST SECURITIES, LLC
June 19, 1992 - August 25, 1992
R.B. WEBSTER INVESTMENTS, INC.
July 17, 1991 - July 2, 1992
CHELSEA STREET SECURITIES, INC.
January 23, 1990 - July 3, 1991
LEHMAN BROTHERS 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
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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