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DL

David C. Lavender

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CRD#: 2556877
DL

Professional summary

David Craig Lavender MR. was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, David had worked at 11 firms, which includes MAGNUM SECURITIES OF NEW YORK INC., THE REGENCY GROUP INC., STOCKTON EQUITIES GROUP, SHAMROCK PARTNERS LTD, ALDEN CAPITAL MARKETS INC., CELADON FINANCIAL GROUP LLC, MEYERS POLLOCK ROBBINS INC., NATIONWIDE SECURITIES CORPORATION, CORTLANDT CAPITAL CORPORATION, TUSCANY EQUITY MANAGEMENT CORPORATI0N, A. T. BROD & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David C Lavenbder | David C Lavender

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

January 11, 2000 - December 12, 2000

MAGNUM SECURITIES OF NEW YORK INC.

BD
CRD#: 39267
NEW YORK, NY
Past

September 1, 1999 - December 22, 1999

THE REGENCY GROUP, INC.

BD
CRD#: 45216
NEW YORK, NY
Past

February 22, 1999 - September 24, 1999

STOCKTON EQUITIES GROUP

BD
CRD#: 18262
SAN DIEGO, CA
Past

August 6, 1998 - October 27, 1998

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

March 24, 1998 - July 30, 1998

ALDEN CAPITAL MARKETS, INC.

BD
CRD#: 25314
NEW YORK, NY
Past

April 3, 1997 - April 24, 1997

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
MORRISTOWN, NJ
Past

July 12, 1996 - September 10, 1996

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

December 6, 1995 - June 26, 1996

NATIONWIDE SECURITIES CORPORATION

BD
CRD#: 29720
VALRICO, FL
Past

June 6, 1995 - December 11, 1995

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

April 18, 1995 - June 22, 1995

TUSCANY EQUITY MANAGEMENT CORPORATI0N

BD
CRD#: 20016
DEERFIELD BEACH, FL
Past

March 20, 1995 - March 31, 1995

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH

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
RR
Series 63
Date: 3/24/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/1995
General Securities Principal Examination

Current Firm

MS
MAGNUM SECURITIES OF NEW YORK INC.
MAGNUM SECURITIES OF NEW YORK INC.

CRD#: 39267 / SEC#: , 8-48584

BD
Terminated by SEC on 03/11/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/15/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAMBRO, GEORGE WILLIAMCHAIRMAN1875636
KAZAK, PAULPASSIVE OWNER2162021
BOTTA, STEVEN GREGORYOPS MGR
BUCHANAN, VINCENT ANTHONYCO FINANCIAL OPERATIONS PRINCIPAL34247
GOOD, DENNIS LEEHEAD TRADER/CROP/SROP1426482
WILSON, JOHN JAMESADMIN OFF732737

Disclosures

Regulatory Event5

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

MAGNUM SECURITIES OF NEW YORK INC.

CRD#: 39267

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