David M. Sobel
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 Mark Sobel, who also goes by David Sobel, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 3 firms and has passed the SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2006 - July 27, 2016
ABEL/NOSER CORP.
April 18, 1995 - November 14, 1997
KNIGHT CAPITAL MARKETS LLC
August 17, 1992 - April 18, 1995
TRIMARK SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ABEL/NOSER CORP.
CRD#: 7537 / SEC#: , 8-21897
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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