David A. Dallow
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 A Dallow, who also goes by David A Dallon, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2000 - November 13, 2012
OSCAR GRUSS & SON INCORPORATED
March 30, 2000 - June 23, 2000
BROADBAND CAPITAL MANAGEMENT, LLC
February 3, 1998 - April 28, 2000
OSCAR GRUSS & SON INCORPORATED
May 14, 1997 - December 31, 1997
FIRST UNITED EQUITIES CORPORATION
January 13, 1994 - April 21, 1997
D. H. BLAIR & CO., INC.
August 16, 1993 - January 10, 1994
H.J. MEYERS & 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
Series 55
Date: 10/19/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 9/8/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OSCAR GRUSS & SON INCORPORATED
CRD#: 2091 / SEC#: , 8-22371
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 5 |
| Judgment/Lien | 13 |
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.
