David K. Carlson
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 Kent Carlson, who also goes by David Carlson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
December 19, 2013 - February 23, 2017
SOUTH STREET SECURITIES LLC
June 16, 2011 - November 21, 2012
UBS SECURITIES LLC
August 27, 2009 - June 24, 2011
MORGAN STANLEY & CO. LLC
October 1, 2008 - April 1, 2009
J.P. MORGAN SECURITIES LLC
June 6, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
April 23, 2004 - June 6, 2008
J.P. MORGAN SECURITIES LLC
October 16, 2000 - March 19, 2004
CREDIT SUISSE SECURITIES (USA) LLC
June 25, 1998 - October 16, 2000
PERSHING LLC
September 21, 1993 - April 15, 1998
UBS SECURITIES LLC
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
SOUTH STREET SECURITIES LLC
CRD#: 125202 / SEC#: , 8-65770
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
