David O. Braeger
Professional summary
David Oscar Braeger 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 1992. Prior to being barred, David had worked at 15 firms, which includes MIDTOWN PARTNERS, ARQUE CAPITAL LTD., ACCELERATED CAPITAL GROUP, NEWPORT COAST SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, BOLTON GLOBAL CAPITAL, A. G. EDWARDS & SONS INC., LEGG MASON WOOD WALKER INCORPORATED, SANDERS MORRIS LLC, RAYMOND JAMES & ASSOCIATES INC., WELLS FARGO CLEARING SERVICES LLC, MESIROW FINANCIAL INC., J.P. MORGAN SECURITIES LLC, UBS FINANCIAL SERVICES INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2014 - July 23, 2014
MIDTOWN PARTNERS
May 9, 2012 - February 28, 2013
ARQUE CAPITAL, LTD.
January 12, 2012 - May 15, 2012
ACCELERATED CAPITAL GROUP
October 8, 2008 - January 30, 2012
NEWPORT COAST SECURITIES, INC.
February 25, 2003 - May 18, 2007
BROOKSTREET SECURITIES CORPORATION
April 3, 2002 - November 27, 2002
BROOKSTREET SECURITIES CORPORATION
December 7, 2001 - April 5, 2002
BOLTON GLOBAL CAPITAL
June 8, 2001 - November 20, 2001
A. G. EDWARDS & SONS, INC.
July 31, 2000 - June 26, 2001
LEGG MASON WOOD WALKER, INCORPORATED
December 17, 1999 - August 16, 2000
SANDERS MORRIS LLC
December 16, 1998 - February 4, 2000
RAYMOND JAMES & ASSOCIATES, INC.
March 19, 1997 - December 18, 1998
WELLS FARGO CLEARING SERVICES, LLC
July 18, 1995 - April 18, 1997
MESIROW FINANCIAL, INC.
January 10, 1994 - July 21, 1995
J.P. MORGAN SECURITIES LLC
April 13, 1992 - January 20, 1994
UBS FINANCIAL SERVICES INC.
March 12, 1992 - April 6, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MIDTOWN PARTNERS
CRD#: 104223 / SEC#: , 8-52685
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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