David S. Prince
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 Stephen Prince was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2000 - March 22, 2016
BROADBAND CAPITAL MANAGEMENT, LLC
August 12, 1998 - April 28, 2000
OSCAR GRUSS & SON INCORPORATED
September 17, 1997 - September 2, 1998
LADENBURG THALMANN & CO. INC.
January 15, 1996 - September 12, 1997
RICKEL & ASSOCIATES, INC.
December 19, 1994 - January 16, 1996
FAB SECURITIES OF AMERICA, INC.
April 21, 1994 - January 5, 1995
A. T. BROD & CO. INC.
April 15, 1994 - May 14, 1994
CHURCHILL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROADBAND CAPITAL MANAGEMENT, LLC
CRD#: 48001 / SEC#: , 8-51992
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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