David M. Bekenstein
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 Marc Bekenstein was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, 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
November 6, 2018 - December 31, 2020
THE LEADERS GROUP, INC.
November 2, 2018 - November 30, 2018
OSAIC WEALTH, INC.
June 16, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
November 27, 2013 - June 14, 2016
SIGNATOR INVESTORS, INC.
March 6, 2012 - October 29, 2013
THE LEADERS GROUP, INC.
January 7, 2011 - March 13, 2012
MML INVESTORS SERVICES, LLC
December 17, 2010 - March 13, 2012
MML INVESTORS SERVICES, LLC
September 30, 2009 - November 5, 2010
BREWER INVESTMENT ADVISORS LLC
September 29, 2009 - November 5, 2010
BREWER FINANCIAL SERVICES, LLC
December 14, 2007 - August 12, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 2007 - August 12, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 17, 2006 - November 28, 2007
NYLIFE SECURITIES LLC
September 8, 2005 - February 23, 2006
MML INVESTORS SERVICES, LLC
March 5, 2004 - July 19, 2005
THE LEADERS GROUP, INC.
April 28, 2003 - February 18, 2004
MORGAN STANLEY DW INC.
July 31, 2002 - April 28, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
November 4, 1998 - July 26, 2002
MORGAN STANLEY DW INC.
April 15, 1998 - October 23, 1998
MML INVESTORS SERVICES, LLC
September 22, 1993 - March 9, 1998
NYLIFE SECURITIES LLC
August 20, 1990 - June 16, 1993
METROPOLITAN LIFE INSURANCE COMPANY
August 20, 1990 - June 16, 1993
MSI FINANCIAL SERVICES, 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 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/22/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
