Arthur W. David
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.
Arthur Walter David, who also goes by Arthur Walter David, Artie David, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1997. Arthur had worked at 17 firms and has passed the Series 63 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
May 21, 2013 - November 8, 2013
CLARK DODGE & CO., INC.
January 20, 2010 - March 30, 2012
BUCKMAN, BUCKMAN & REID, INC.
February 9, 2009 - January 13, 2010
MERCER CAPITAL LTD.
July 31, 2007 - April 18, 2008
WOODSTOCK FINANCIAL GROUP, INC.
September 7, 2006 - September 8, 2006
CLARK DODGE & CO., INC.
September 7, 2006 - October 24, 2006
PHD CAPITAL
July 18, 2006 - July 31, 2006
BRILL SECURITIES, INC.
July 18, 2006 - September 5, 2006
E1 ASSET MANAGEMENT, INC.
January 29, 2004 - June 26, 2006
WINDSOR STREET CAPITAL, LP
June 12, 2003 - January 27, 2004
SYNERGY INVESTMENT GROUP, LLC
December 5, 2002 - June 12, 2003
WOODSTOCK FINANCIAL GROUP, INC.
June 26, 2002 - September 10, 2002
R.M. STARK & CO., INC.
February 25, 2002 - July 17, 2002
HARRISON SECURITIES, INC.
November 19, 2001 - February 21, 2002
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
October 1, 2001 - October 31, 2001
NORTHEAST SECURITIES, LLC
June 5, 2001 - September 5, 2001
THINKEQUITY LLC
January 5, 2000 - June 4, 2001
NATIONAL SECURITIES CORPORATION
December 12, 1997 - December 23, 1999
CARNEGIE INVESTOR SERVICES INC.
April 18, 1997 - December 18, 1997
MEYERS POLLOCK ROBBINS, 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
CLARK DODGE & CO., INC.
CRD#: 23288 / SEC#: , 8-40292
Contact information
Disclosures
| Regulatory Event | 4 |
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.
