David M. Pitt
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 Martin Pitt was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 8 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
August 1, 2011 - February 1, 2013
INVESTACORP, INC.
April 11, 2011 - August 1, 2011
CAPITOL SECURITIES MANAGEMENT, INC.
October 29, 2008 - March 29, 2011
J.P. TURNER & COMPANY, L.L.C.
November 17, 2003 - July 20, 2004
J.P. TURNER & COMPANY, L.L.C.
July 11, 2002 - October 14, 2002
SOURCE CAPITAL GROUP, INC.
December 11, 2000 - July 26, 2002
SCHNEIDER SECURITIES, INC.
October 2, 1998 - January 4, 2001
KIRLIN SECURITIES INC.
September 22, 1998 - October 7, 1998
SCHNEIDER SECURITIES, INC.
August 28, 1998 - November 3, 1998
H.J. MEYERS & CO., INC.
February 19, 1998 - September 2, 1998
ASHTON THOMAS SECURITIES, LLC
January 23, 1997 - February 16, 1998
H.J. MEYERS & 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
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
