David J. Kotz
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 Jacobs Kotz was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
January 17, 2018 - January 11, 2019
THIRD SEVEN ADVISORS, LLC
January 12, 2018 - August 27, 2019
THIRD SEVEN CAPITAL LLC
December 17, 2013 - May 5, 2017
CONCORDE ASSET MANAGEMENT, LLC
October 31, 2013 - May 5, 2017
CONCORDE INVESTMENT SERVICES, LLC
July 23, 2013 - October 21, 2013
CABOT LODGE SECURITIES LLC
March 24, 2011 - October 24, 2013
CL WEALTH MANAGEMENT LLC
February 22, 2011 - July 24, 2013
ALLIED BEACON PARTNERS, INC.
July 29, 2010 - November 1, 2011
AMERICAN BEACON WEALTH MANAGEMENT, INC.
May 17, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
April 5, 2007 - May 24, 2010
KESTRA INVESTMENT SERVICES, LLC
April 5, 2007 - May 24, 2010
KESTRA INVESTMENT SERVICES, LLC
November 18, 2002 - April 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2002 - April 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2000 - December 4, 2001
AUGMENT SECURITIES INC.
February 16, 2000 - May 18, 2000
J.P. MORGAN SECURITIES INC.
January 1, 1998 - December 21, 1999
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
April 13, 1994 - August 21, 1997
CHASE INVESTMENT SERVICES CORP.
February 17, 1994 - March 28, 1994
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
THIRD SEVEN ADVISORS, LLC
CRD#: 285974 / SEC#: 801-114570
Contact information
Red Flags
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