David J. Vroubel
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 Jay Vroubel was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 10 firms and has passed the Series 63, 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
July 8, 2015 - April 19, 2016
PHX FINANCIAL, INC.
January 22, 2013 - June 27, 2013
BLAYLOCK VAN, LLC
March 9, 2012 - January 15, 2013
TEJAS SECURITIES GROUP, INC.
August 31, 2010 - November 29, 2011
CCM SECURITIES, LLC
May 29, 2009 - August 19, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
March 18, 2008 - January 6, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 1, 2005 - April 10, 2008
BLUEFIN SPECIALISTS L.L.C.
December 8, 2003 - November 1, 2006
CCM SECURITIES, LLC
September 26, 2003 - April 10, 2008
BLUEFIN CAPITAL MANAGEMENT, LLC
July 29, 1999 - November 3, 2000
IBKR SECURITIES SERVICES LLC
April 22, 1997 - September 9, 1997
CONTINENTAL BROKER-DEALER CORP.
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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