David L. Avidon
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 Laurence Avidon, who also goes by David Laurance Avidon, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 55 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
September 16, 2016 - February 3, 2017
SOURCE CAPITAL GROUP, INC.
March 5, 2010 - December 23, 2014
GMS GROUP
May 1, 2002 - November 13, 2002
CARLIN EQUITIES, LLC
October 26, 2001 - March 19, 2002
RUMSON CAPITAL, LLC
July 12, 2001 - October 9, 2001
BROADBAND CAPITAL MANAGEMENT, LLC
May 3, 1996 - July 18, 2001
DALTON KENT SECURITIES GROUP, INC.
December 1, 1993 - July 2, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 30, 1993 - December 6, 1993
G.R. STUART & COMPANY, INC.
December 7, 1992 - February 23, 1993
GKN SECURITIES CORP.
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: 3/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
