Dave A. Green
Professional summary
Dave Augustus Green was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dave is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Dave had worked at 5 firms, which includes GUNNALLEN FINANCIAL INC, CAPITAL GROWTH FINANCIAL LLC, ARJENT LTD., PREFERRED SECURITIES GROUP INC., FIRST SECURITY INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2003 - January 10, 2005
GUNNALLEN FINANCIAL, INC
January 28, 2002 - January 14, 2003
CAPITAL GROWTH FINANCIAL, LLC
January 22, 2002 - January 24, 2002
ARJENT LTD.
October 22, 2001 - January 23, 2002
PREFERRED SECURITIES GROUP, INC.
August 16, 1996 - October 15, 2001
FIRST SECURITY INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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