David Reynoso
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 Reynoso, who also goes by David J Reynolds III, David Reynolds, Davids J Reynolds III, 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 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
September 29, 1997 - May 15, 1998
LEGEND MERCHANT GROUP, INC.
July 24, 1997 - May 15, 1998
LEGEND MERCHANT GROUP, INC.
November 7, 1995 - May 9, 1997
INVESTORS ASSOCIATES, INC.
August 29, 1995 - September 13, 1995
GILFORD SECURITIES INCORPORATED
September 12, 1994 - August 29, 1995
FAIRCHILD FINANCIAL GROUP, INC.
November 22, 1993 - September 26, 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
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
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.
