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David J. Rosales

Some features on this profile are disabled
CRD#: 2523441
DR

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 Juda Rosales was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1994. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7, Series 5, Series 15 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 3, 2017 - July 18, 2017

GREAT PACIFIC SECURITIES

BD
CRD#: 29251
COSTA MESA, CA
Past

January 6, 2014 - March 11, 2016

RELIANCE WORLDWIDE INVESTMENTS, LLC

BD
CRD#: 143546
GURNEE, IL
Past

May 12, 2010 - June 5, 2012

LEVEL FOUR ADVISORY SERVICES

RIA
CRD#: 134086
IRVINE, CA
Past

May 3, 2010 - May 4, 2010

OSAIC FS, INC.

RIA
CRD#: 3870
IRVINE, CA
Past

May 3, 2010 - June 12, 2012

OSAIC FS, INC.

BD
CRD#: 3870
IRVINE, CA
Past

July 23, 2007 - March 31, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
LAKE FOREST, CA
Past

July 20, 2007 - March 31, 2010

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
LAKE FOREST, CA
Past

June 27, 2007 - July 23, 2007

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
PASADENA, CA
Past

June 27, 2007 - July 23, 2007

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

July 8, 2003 - July 13, 2007

BROOKSTREET SECURITIES CORPORATION

RIA
CRD#: 14667
LAKE FOREST, CA
Past

July 19, 2002 - July 13, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
LAKE FOREST, CA
Past

September 2, 1999 - May 10, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEWPORT BEACH, CA
Past

July 21, 1999 - May 10, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 27, 1996 - July 19, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 9, 1996 - June 5, 1996

CURRENCY TRADING INTERNATIONAL, INC.

BD
CRD#: 35299
NEWPORT BEACH, CA
Past

August 16, 1994 - January 3, 1996

CURRENCY TRADING INTERNATIONAL, INC.

BD
CRD#: 35299
NEWPORT BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/19/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/2/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 2/2/1995
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 15
Date: 8/15/1994
Foreign Currency Options Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2007
General Securities Principal Examination

Current Firm

GP
GREAT PACIFIC SECURITIES
GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES

CRD#: 29251 / SEC#: , 8-44398

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Mailing Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Phone number
(714) 619-3000
Established
California since 09/01/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VINCK, CHRISTOPHER VINCENTPRINCIPAL OPERATING OFFICER2447335
VINCK, CHRISTOPHER VINCENTTRADING2447335
VINCK, CHRISTOPHER VINCENTCEO2447335
VINCK, CHRISTOPHER VINCENTCCO2447335
ONESTO, RICHARD ERNESTPRINCIPAL FINANCIAL OFFICER, FINOP, AND CFO2453096

Disclosures

Regulatory Event2

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.

Company Information

GREAT PACIFIC SECURITIES

CRD#: 29251

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