David J. Nelligan
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 Joseph Nelligan, who also goes by Dave Nelligan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 9 firms and has passed the Series 63, Series 55 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
February 9, 2011 - February 24, 2012
THE BENCHMARK COMPANY, LLC
June 23, 2008 - December 15, 2010
WJB CAPITAL GROUP, INC.
March 17, 2008 - June 18, 2008
GUNNALLEN FINANCIAL, INC
October 31, 2005 - October 10, 2006
MOORS & CABOT, INC.
September 16, 2003 - February 24, 2004
VIEWTRADE SECURITIES, INC.
January 22, 2003 - May 29, 2003
LADENBURG THALMANN & CO. INC.
April 15, 2002 - January 15, 2003
BROKERAGEAMERICA, LLC
April 1, 2002 - April 15, 2002
BROKERAGEAMERICA, INC
January 22, 1998 - March 27, 2002
DEUTSCHE IXE, 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 55
Date: 8/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
THE BENCHMARK COMPANY, LLC
CRD#: 22982 / SEC#: , 8-40081
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 18 |
| 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.
