David A. Nesson
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 Andrew Nesson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2011 - December 1, 2015
INNOVATIVE CAPITAL MANAGEMENT
June 19, 2008 - October 15, 2010
CHANNEL ISLANDS CAPITAL & CO., LLC
August 1, 1998 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
July 21, 1995 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
March 19, 1992 - July 31, 1995
FORTA FINANCIAL GROUP, INC.
October 23, 1991 - April 4, 1992
JMC INVESTMENT SERVICES, INC.
September 16, 1991 - September 25, 1991
REES FINANCIAL GROUP, 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
Current Firm
INNOVATIVE CAPITAL MANAGEMENT
CRD#: 130446 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Active | 7/8/2016 |
Red Flags
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