David C. Korb
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 Charles Korb was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 7 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
September 9, 2009 - October 17, 2013
COHEN & COMPANY SECURITIES, LLC
April 4, 2005 - November 4, 2008
STONEX FINANCIAL INC.
February 2, 2004 - April 22, 2005
HSBC SECURITIES (USA) INC.
August 4, 2000 - August 7, 2003
BANC OF AMERICA SECURITIES LLC
July 31, 1998 - August 4, 2000
ABN AMRO SECURITIES LLC
May 19, 1997 - December 22, 1997
CITIGROUP GLOBAL MARKETS INC.
January 18, 1996 - April 1, 1997
CITICORP SECURITIES, 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
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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