David M. Isaacson
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 Mark Isaacson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1971. David had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2009 - December 10, 2009
SOUTHEAST INVESTMENTS, N.C., INC.
August 11, 2004 - December 31, 2014
ISAACSON, DAVID M
July 21, 1993 - September 24, 2007
OSAIC WEALTH, INC.
April 24, 1981 - July 26, 1993
NEW ENGLAND SECURITIES
July 22, 1975 - November 15, 1980
INDUSTRY SAVINGS PLANS, INC.
August 1, 1973 - March 22, 1975
January 2, 1973 - November 17, 1973
August 10, 1971 - January 19, 1973
March 17, 1971 - September 9, 1971
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
Series 1
Date: 3/8/1971
Registered Representative ExaminationCurrent Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
