David L. Seefeldt
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 Lawrence Seefeldt, who also goes by David L Seefeldt, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 6 firms and has passed the Series 65, Series 66, 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
May 15, 2012 - December 31, 2012
BALATA CAPITAL LLC
May 28, 2002 - July 31, 2009
WBB SECURITIES, LLC
November 1, 2001 - May 17, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 19, 2001 - November 13, 2001
PIPER SANDLER & CO.
November 17, 1999 - March 23, 2001
MORGAN STANLEY DW INC.
September 10, 1997 - November 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BALATA CAPITAL LLC
CRD#: 161349 / SEC#:
Contact information
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.
