David S. Perlmutter
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 Scott Perlmutter, who also goes by Dave Perlmutter, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 79TO, SIE 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
June 10, 2013 - January 5, 2022
FIRST LIBERTIES FINANCIAL
June 16, 2010 - June 27, 2011
TVA CAPITAL, LLC
February 22, 2008 - August 3, 2010
FIRST UNION SECURITIES, INC.
October 25, 2005 - January 10, 2007
OPPENHEIMER & CO. INC.
February 21, 2003 - January 10, 2007
OPPENHEIMER & CO. INC.
November 17, 1999 - February 26, 2003
KIRLIN SECURITIES INC.
September 15, 1998 - December 7, 1999
TRADE.COM ONLINE SECURITIES, INC.
October 21, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
December 9, 1996 - September 2, 1997
D. H. BLAIR & 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
Series 7TO
Date: 4/28/2024
General Securities Representative ExaminationSeries 79TO
Date: 4/28/2024
Investment Banking Registered Representative ExaminationCurrent Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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