David J. Dewald
Professional summary
David John Dewald 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 1997. Prior to being barred, David had worked at 6 firms, which includes SUMMIT BROKERAGE SERVICES INC., MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., BANC OF AMERICA INVESTMENT SERVICES INC., BANC ONE SECURITIES CORPORATION, CADARET GRANT & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2008 - July 28, 2008
SUMMIT BROKERAGE SERVICES, INC.
April 2, 2007 - April 29, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - April 29, 2008
MORGAN STANLEY & CO. LLC
May 21, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
May 21, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
April 10, 2002 - June 10, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 19, 2000 - June 10, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 20, 1999 - October 3, 2000
BANC ONE SECURITIES CORPORATION
June 23, 1997 - February 26, 1999
CADARET, GRANT & CO., 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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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