David M. Wakefield
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 Michael Wakefield was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2014 - August 5, 2014
BENJAMIN & JEROLD BROKERAGE I, LLC
January 9, 2007 - January 27, 2012
NSX SECURITIES LLC
February 18, 2003 - June 2, 2004
INET ATS, INC.
August 1, 2000 - June 2, 2004
INSTINET, LLC
June 23, 1997 - August 1, 2000
REUTERS C CORPORATION
January 25, 1996 - February 20, 1997
WALL STREET EQUITIES INCORPORATED
June 20, 1995 - January 22, 1996
CONTINENTAL BROKER-DEALER CORP.
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 55
Date: 7/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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