David J. Kaul
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 Jeffery Kaul, who also goes by Dave Kaul, David Jeffrey Kaul, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2018 - December 31, 2018
PATRICK CAPITAL MARKETS, LLC
November 15, 2016 - February 13, 2018
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 9, 2014 - August 29, 2016
MEEDER DISTRIBUTION SERVICES, INC.
August 24, 2011 - May 30, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
February 4, 2009 - August 19, 2010
SAMUELS CHASE & CO., INC.
January 12, 2009 - December 1, 2009
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
August 3, 2006 - May 31, 2007
VICTORY CAPITAL SERVICES, INC.
August 3, 2006 - May 31, 2007
FUNDS DISTRIBUTOR, LLC
August 25, 2005 - March 31, 2006
BNY MELLON SECURITIES CORPORATION
August 18, 2005 - March 31, 2006
BNY MELLON SECURITIES CORPORATION
April 13, 2004 - October 4, 2004
QUASAR DISTRIBUTORS, LLC
February 26, 2003 - October 31, 2003
REFCO SECURITIES, LLC
January 15, 2002 - September 10, 2002
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
September 25, 1997 - January 25, 2002
NICHOLAS-APPLEGATE SECURITIES LLC
October 24, 1996 - July 15, 1997
FORTA FINANCIAL GROUP, INC.
November 28, 1994 - October 31, 1996
CHATFIELD DEAN & CO., 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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
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.
