David J. Quick
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 James Quick, who also goes by David J Quick, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 27 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
January 10, 2012 - October 30, 2018
FORESTERS EQUITY SERVICES, INC.
January 10, 2012 - October 30, 2018
FORESTERS EQUITY SERVICES, INC.
June 23, 2009 - January 6, 2012
WFG ADVISORS, LP
June 23, 2009 - January 6, 2012
WFG INVESTMENTS, INC.
October 3, 2007 - June 22, 2009
SOUTHWEST TEXAS CAPITAL, L.L.C
June 6, 2003 - June 22, 2009
SOUTHWEST TEXAS CAPITAL, L.L.C
October 11, 2000 - June 6, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 29, 1994 - October 14, 1998
MOMENTUM INDEPENDENT NETWORK INC.
January 4, 1994 - August 29, 1994
AMERICAP FINANCIAL, INC.
August 31, 1993 - December 31, 1993
1ST GLOBAL CAPITAL CORP.
December 15, 1992 - August 25, 1993
THE AGEAN GROUP, INC
October 26, 1992 - June 7, 1993
MERIDIAN, DUNHILL & CO., INC.
September 14, 1992 - October 15, 1992
AVANTAX INVESTMENT 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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