David M. Weeks
Professional summary
David Michael Weeks was barred by both the FINRA and the SEC 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 8 firms, which includes KSH INVESTMENT GROUP INC., KIRLIN SECURITIES INC., KLEIN MAUS & SHIRE INC., ROYCE INVESTMENT GROUP INC., COLIN WINTHROP & CO. INC., JOSEPH DILLON & COMPANY INC., STERLING FOSTER & COMPANY INC., J. GREGORY & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 1998 - October 22, 1999
KSH INVESTMENT GROUP, INC.
September 16, 1998 - September 29, 1998
KIRLIN SECURITIES INC.
May 21, 1998 - September 24, 1998
KLEIN, MAUS & SHIRE INC.
January 28, 1998 - April 23, 1998
ROYCE INVESTMENT GROUP, INC.
July 28, 1997 - January 12, 1998
COLIN WINTHROP & CO., INC.
March 25, 1997 - June 2, 1997
JOSEPH DILLON & COMPANY INC.
June 28, 1994 - March 7, 1997
STERLING FOSTER & COMPANY, INC.
November 9, 1992 - July 5, 1994
J. GREGORY & COMPANY, 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
KSH INVESTMENT GROUP, INC.
CRD#: 41817 / SEC#: , 8-49586
Contact information
Documents
Disclosures
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
