David J. Karlin
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 James Karlin was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 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
January 4, 2019 - January 22, 2025
OBERON SECURITIES, LLC
April 9, 2009 - February 17, 2012
LEGEND SECURITIES, INC.
November 28, 2008 - April 3, 2009
RUSHMORE CAPITAL, INC.
January 24, 2003 - December 10, 2008
GUNNALLEN FINANCIAL, INC
October 23, 2002 - February 4, 2003
MAXIM GROUP LLC
December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
September 6, 2000 - December 5, 2000
EARLYBIRDCAPITAL, INC.
February 17, 1998 - December 18, 2000
GKN SECURITIES CORP.
September 25, 1997 - January 30, 1998
LADENBURG THALMANN & CO. INC.
September 7, 1995 - September 22, 1997
RICKEL & ASSOCIATES, INC.
September 27, 1994 - September 6, 1995
GRUNTAL & CO., L.L.C.
July 6, 1992 - September 28, 1994
BLUESTONE CAPITAL CORP.
March 23, 1992 - July 16, 1992
LADENBURG THALMANN & CO. INC.
February 11, 1992 - March 27, 1992
LEHMAN BROTHERS INC.
April 24, 1990 - January 25, 1991
F.N. WOLF & 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
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 States and Territories)
Documents
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.
