David Ferst
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 Ferst was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1973. David had worked at 10 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2004 - April 21, 2006
ALLSTATE FINANCIAL SERVICES, LLC
March 20, 2002 - June 24, 2004
CUSO FINANCIAL SERVICES, L.P.
February 22, 2002 - June 24, 2004
CUSO FINANCIAL SERVICES, L.P.
October 27, 1993 - February 26, 2002
CETERA WEALTH SERVICES, LLC
August 6, 1990 - October 8, 1993
OGILVIE SECURITY ADVISORS CORPORATION
April 16, 1990 - May 8, 1990
MALONE & ASSOCIATES, INC.
September 26, 1988 - June 22, 1990
D.R. DWYER & COMPANY
October 19, 1987 - September 26, 1988
SINGER & COMPANY SECURITIES, INC.
June 18, 1987 - October 20, 1987
KORN, WOMACK, STERN AND ASSOCIATES, INC.
August 21, 1984 - July 7, 1987
VERAVEST INVESTMENTS, INC.
June 18, 1973 - December 16, 1983
TRANSAMERICA FINANCIAL ADVISORS, 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
Series 1
Date: 6/13/1973
Registered Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
