David L. Curley
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 La Porte Curley, who also goes by David L Curley, David Laporte Curley, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 55, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2014 - November 19, 2014
GLOBAL OAK CAPITAL MARKETS LLC
October 27, 2011 - August 6, 2012
XP INVESTMENTS US, LLC
March 4, 2011 - September 14, 2011
AVANZA CAPITAL MARKETS INC.
February 11, 2008 - April 11, 2008
FIRST NEW YORK SECURITIES L.L.C.
July 9, 2003 - March 23, 2005
GEORGE WEISS & COMPANY LLC
July 9, 2003 - February 22, 2006
GEORGE WEISS ASSOCIATES, INC.
August 28, 1991 - April 11, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 1/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL OAK CAPITAL MARKETS LLC
CRD#: 125860 / SEC#: , 8-65829
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANGEL OAK GLOBAL MARKETS, LLC | OWNER | |
| DRAKE, WILLIAM FRANCIS III | OWNER | 1621314 |
| LIEBERGALL, JONATHAN SCOTT | OWNER / CEO | 1744845 |
| PARKWAY INVESTMENT MANAGEMENT | OWNER | |
| WALKER, FREDERICK EUCLID | OWNER | 2360896 |
| MAGBALON, MICHAEL JOHN | OWNER | 7220640 |
| TOFT, CHRISTIAN DAVID | OWNER | 4389124 |
| KATZ, MARIE | CFO, FINOP, CCO | 2457660 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
