David M. Fine
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 Mayer Colman Fine was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2014 - July 26, 2016
MERRIMAN CAPITAL, INC.
August 20, 2012 - March 5, 2013
KOYOTE TRADING LLC
January 26, 2007 - February 4, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
July 25, 2005 - November 8, 2005
SCREAMING EAGLE TRADING, INC.
July 10, 2002 - October 8, 2002
COWEN PRIME SERVICES TRADING LLC
October 9, 2000 - June 18, 2002
BANC OF AMERICA SECURITIES LLC
December 24, 1998 - July 6, 1999
CANACCORD GENUITY SECURITIES LLC
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 56
Date: 8/17/2012
Proprietary Trader Qualification ExaminationCurrent Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
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.
