David P. Lefort
Professional summary
David Paul Lefort was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, David had worked at 14 firms, which includes PHD CAPITAL, CHICAGO INVESTMENT GROUP LLC, J.P. TURNER & COMPANY L.L.C., BRILL SECURITIES INC., ROUND HILL SECURITIES INC., FEDERAL STREET INVESTMENTS INC., SALOMON GREY FINANCIAL CORPORATION, CANTELLA & CO. INC., LEERINK PARTNERS LLC, GRUNTAL & CO. L.L.C., LEHMAN BROTHERS INC., MORGAN STANLEY DW INC., ROYCE PARK INVESTMENTS INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2009 - October 13, 2009
PHD CAPITAL
March 5, 2007 - March 27, 2009
CHICAGO INVESTMENT GROUP, LLC
May 2, 2006 - December 13, 2006
J.P. TURNER & COMPANY, L.L.C.
May 23, 2002 - February 25, 2003
BRILL SECURITIES, INC.
October 19, 2001 - June 3, 2002
ROUND HILL SECURITIES, INC.
May 3, 2001 - November 26, 2001
FEDERAL STREET INVESTMENTS, INC.
April 18, 2001 - May 7, 2001
SALOMON GREY FINANCIAL CORPORATION
December 16, 1998 - April 18, 2001
CANTELLA & CO., INC.
August 19, 1997 - December 7, 1998
LEERINK PARTNERS LLC
June 20, 1994 - August 19, 1997
GRUNTAL & CO., L.L.C.
August 18, 1992 - July 13, 1994
LEHMAN BROTHERS INC.
April 1, 1992 - August 17, 1992
MORGAN STANLEY DW INC.
April 3, 1991 - December 18, 1991
MORGAN STANLEY DW INC.
October 1, 1990 - October 30, 1990
ROYCE PARK INVESTMENTS, INC.
October 1, 1990 - November 12, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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