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David E. Mcintire

Some features on this profile are disabled
CRD#: 2743679
DM

Professional summary

David Eugene Mcintire 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 advisor and started their career in finance in 1996. Prior to being barred, David had worked at 3 firms, which includes GUNNALLEN FINANCIAL INC, BROOKSTREET SECURITIES CORPORATION, CITIGROUP GLOBAL MARKETS INC..

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

August 23, 2007 - June 30, 2008

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
SARASOTA, FL
Past

July 19, 2007 - June 30, 2008

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
SARASOTA, FL
Past

January 11, 2006 - July 20, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SARASOTA, FL
Past

July 11, 1996 - November 15, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SARASOTA, FL
Past

July 8, 1996 - November 15, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, 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
IAR
Series 65
Date: 7/17/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/17/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/1996
General Securities Representative Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

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.

Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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