David N. Masor
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 Neil Masor, who also goes by David N Masor, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
October 20, 2015 - December 19, 2016
CLARKSONS SECURITIES, INC
May 19, 2008 - July 1, 2008
DPEC CAPITAL, INC.
October 2, 2007 - August 22, 2008
CLEARVIEW TRADING ADVISORS, INC.
February 15, 2007 - October 2, 2007
BROADBAND CAPITAL MANAGEMENT, LLC
June 20, 2006 - February 15, 2007
STONEHAVEN, LLC
April 29, 1998 - June 13, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 12, 1997 - February 17, 1998
SANDS BROTHERS & CO., LTD.
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 55
Date: 10/30/2015
Limited Representative-Equity Trader ExamCurrent Firm
CLARKSONS SECURITIES, INC
CRD#: 30882 / SEC#: , 8-45221
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLARKSONS SECURITIES AS | SOLE SHAREHOLDER | |
| DEVRIES, TIMOTHY S | CO-CEO | 4852002 |
| FODSTAD, CHRISTIAN GJELSVIK | DIRECTOR | 7726256 |
| HELBERG, IVAN ERIK | DIRECTOR | 6447460 |
| HOY, SNORRE FAERDEN | DIRECTOR | 7726806 |
| IANNACI, SALVATORE ANTHONY | CO-CEO | 2778870 |
| MCDONAGH, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 2749774 |
| MCDONAGH, BRIAN JOSEPH | CFO/FINOP | 2749774 |
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.
