David J. List
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 Joseph List was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2004 - August 26, 2014
ARCHELON LLC
August 28, 2002 - January 21, 2004
NEWEDGE FINANCIAL INC.
February 23, 2002 - August 20, 2002
CIS SECURITIES, INC.
May 16, 2001 - February 23, 2002
CARGILL INVESTOR SERVICES, 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
ARCHELON LLC
CRD#: 43187 / SEC#: , 8-50169
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARCHELON PARTNERS, INC. | MEMBER | |
| LJT, LLC | MEMBER | |
| SAG2, LLC | MEMBER | |
| BACA, BERYL, A. | MEMBER | |
| GITTER, S ALEXEI | MANAGER | |
| KOLTES, JOHN ALBERT III | MANAGER/CHIEF COMPLIANCE OFFICER | |
| LOESER, HOLGER | MEMBER | 4959735 |
| TALL, CHARLES HOWARD IV | MANAGER | |
| THE HERMITAGE GROUP LLC | CLASS B MEMBER |
Disclosures
| Regulatory Event | 10 |
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.
