David A. Santos
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 Allen Santos, who also goes by David Santos, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1998 - August 17, 1999
AMERICAN LANDMARK SECURITIES, INC.
October 31, 1996 - July 16, 1997
NOVA FINANCIAL, INC.
July 8, 1996 - September 3, 1996
ALEXANDER LOCKE SECURITIES CORPORATION
March 26, 1996 - July 31, 1996
NORTH STAR FINANCIAL SERVICES, INC.
November 1, 1995 - March 12, 1996
REEF SECURITIES, INC.
March 14, 1994 - September 27, 1994
WOODBURY FINANCIAL SERVICES, 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
AMERICAN LANDMARK SECURITIES, INC.
CRD#: 42187 / SEC#: , 8-49741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARTHOLOMAE, EDWARD ERNEST | CHAIRMAN, SECRETARY, CCO, PRESIDENT | 2222399 |
| MCNAIR, LAJOICE | TREASURER |
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.
