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DB

David Beaconsfield

Some features on this profile are disabled
CRD#: 1986956
DB

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 Beaconsfield was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1989. David had worked at 6 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 3, 2009 - August 18, 2011

ATLANTIC EQUITIES, LLC

BD
CRD#: 121669
GREENWICH, CT
Past

June 7, 1999 - May 15, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 4, 1998 - June 7, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

June 28, 1995 - April 23, 1998

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

February 23, 1993 - October 5, 1995

NATWEST INTERNATIONAL SECURITIES INC.

BD
CRD#: 26123
NEW YORK, NY
Past

September 19, 1989 - February 8, 1993

MCINTOSH & COMPANY, INC.

BD
CRD#: 16935

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/8/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/2009
General Securities Representative Examination

Current Firm

AE
ATLANTIC EQUITIES, LLC
ATLANTIC EQUITIES, LLC | EXECUTION, LLC | EXECUTION NOBLE, LLC

CRD#: 121669 / SEC#: , 8-65435

BD
Terminated by SEC on 01/29/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 05/22/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ATLANTIC EQUITIES SERVICE COMPANY LIMITED100% OWNER
BENDER, STEVEN CHRISTOPHERFINANCIAL & OPERATIONS PRINCIPAL2650187
DELLA-PORTA, RUPERT JAMES MRDIRECTOR5574308
LEWIS, EDWARD JAMESMANAGING DIRECTOR5904440
LEWIS, EDWARD JAMESCCO5904440
MUI, JASPER KOONHUNGDIRECTOR2695214

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.

Company Information

ATLANTIC EQUITIES, LLC

CRD#: 121669

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