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DM

David A. Maltese

Some features on this profile are disabled
CRD#: 2562471
DM

Professional summary

David Angelo Maltese was barred by the FINRA 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 4 firms, which includes DAWSON JAMES SECURITIES INC., NATIONAL SECURITIES CORPORATION, JOSEPH STEVENS & CO. INC., M.S. FARRELL & COMPANY INC..

top-8-questions

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

March 29, 2005 - August 24, 2009

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

December 3, 2003 - March 30, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

April 16, 1996 - January 14, 2004

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

August 11, 1995 - June 17, 1996

M.S. FARRELL & COMPANY, INC.

BD
CRD#: 24232
SYOSSET, NY
Past

March 30, 1995 - August 24, 1995

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY

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: 4/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/1995
General Securities Representative Examination

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

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

Main Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Mailing Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

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