David H. Tokofsky
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 Howard Tokofsky, who also goes by David Howard Tokufsky, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1995 - July 11, 1997
GLEACHER & COMPANY SECURITIES, INC.
August 19, 1993 - November 21, 1995
CITIGROUP GLOBAL MARKETS INC.
June 11, 1992 - August 12, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 25, 1991 - June 17, 1992
GRUNTAL & CO., L.L.C.
February 14, 1990 - July 30, 1991
W.H. NEWBOLD'S SON & CO., INC.
January 26, 1990 - February 15, 1990
J. T. MORAN & CO., 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
GLEACHER & COMPANY SECURITIES, INC.
CRD#: 298 / SEC#: , 8-2018
Contact information
Documents
Disclosures
| Regulatory Event | 33 |
| Civil Event | 1 |
| Arbitration | 10 |
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.
