David W. Polifroni
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 Warren Polifroni SR, who also goes by David Warren Polifroni, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 13 firms and has passed the Series 66, 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
April 22, 2009 - March 12, 2010
VFINANCE INVESTMENTS, INC
April 1, 2008 - March 31, 2009
JOSEPH GUNNAR & CO. LLC
October 24, 2007 - April 2, 2008
GILFORD SECURITIES INCORPORATED
November 29, 2006 - October 22, 2007
ANDREW GARRETT INC.
July 20, 2005 - December 4, 2006
LAIDLAW & COMPANY (UK) LTD.
January 3, 2003 - July 20, 2005
OPPENHEIMER & CO. INC.
September 30, 1997 - January 6, 2003
MORGAN STANLEY DW INC.
June 5, 1996 - September 17, 1997
UBS FINANCIAL SERVICES INC.
November 21, 1995 - May 17, 1996
AMERICORP SECURITIES, INC.
November 18, 1994 - November 27, 1995
A.S. GOLDMEN & CO., INC.
April 7, 1994 - December 5, 1994
GKN SECURITIES CORP.
October 9, 1993 - February 17, 1994
D. H. BLAIR & CO., INC.
September 20, 1993 - October 7, 1993
M. RIMSON & CO., 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
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
