David T. Low
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 Teh Hui Low, who also goes by Dave Low, David Tehhui Low, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1991. David had worked at 16 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2008 - December 16, 2008
NATIONWIDE SECURITIES, LLC
June 15, 2007 - May 16, 2008
KESTRA INVESTMENT SERVICES, LLC
June 15, 2007 - May 16, 2008
KESTRA INVESTMENT SERVICES, LLC
October 16, 2006 - February 20, 2007
SAXONY SECURITIES, INC.
April 19, 2004 - October 12, 2006
GOLD COAST SECURITIES, INC.
April 19, 2004 - October 12, 2006
GOLD COAST SECURITIES, INC.
April 6, 2004 - April 21, 2004
FDX ADVISORS, INC.
February 6, 2004 - April 21, 2004
LONDON PACIFIC SECURITIES, INC.
October 22, 2002 - December 4, 2002
FIRST ALLIED SECURITIES, INC.
January 19, 1999 - July 25, 2001
CARLIN EQUITIES, LLC
September 9, 1998 - December 24, 1998
MOORS & CABOT, INC.
May 8, 1995 - September 9, 1998
DAKIN SECURITIES CORPORATION
August 2, 1993 - May 5, 1995
J.P. MORGAN SECURITIES LLC
September 30, 1992 - July 30, 1993
LEHMAN BROTHERS INC.
February 14, 1992 - October 23, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 14, 1992 - October 23, 1992
PRUCO SECURITIES, LLC.
April 8, 1991 - January 24, 1992
METROPOLITAN LIFE INSURANCE COMPANY
April 8, 1991 - January 24, 1992
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
