David L. Sulkes
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 Lee Sulkes, who also goes by David Sulkes, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2009 - May 11, 2010
WORKMAN SECURITIES CORPORATION
June 8, 2004 - November 14, 2007
BROAD STREET SECURITIES, INC.
November 25, 2002 - May 28, 2004
LLOYD, SCOTT & VALENTI, LTD.
May 10, 2002 - November 22, 2002
INTERNATIONAL SECURITIES CORPORATION
December 21, 2001 - June 6, 2002
EKN FINANCIAL SERVICES INC.
October 22, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
September 24, 1999 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
September 30, 1998 - October 19, 1999
TASIN & COMPANY, INC.
February 27, 1998 - September 15, 1998
INTERNATIONAL BOND AND SHARE, INC.
October 31, 1997 - March 9, 1998
EISNER SECURITIES, INC.
March 12, 1997 - September 16, 1997
LADENBURG CAPITAL MANAGEMENT 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
WORKMAN SECURITIES CORPORATION
CRD#: 31898 / SEC#: 801-65758, 8-45573
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
