Corey G. Davis
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.
Corey George Davis was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 1998. Corey had worked at 10 firms and has passed the Series 63, Series 86, Series 87, Series 7TO, 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
December 15, 2021 - November 27, 2023
LIFESCI CAPITAL
December 1, 2017 - September 7, 2018
SEAPORT GLOBAL SECURITIES LLC
September 13, 2016 - November 30, 2017
H.C.WAINWRIGHT & CO., LLC
May 20, 2014 - May 18, 2016
CANACCORD GENUITY LLC
March 5, 2014 - May 9, 2014
NATALLIANCE SECURITIES, LLC
August 17, 2009 - August 8, 2013
JEFFERIES LLC
May 15, 2006 - August 17, 2009
NATIXIS SECURITIES AMERICAS LLC
May 1, 2001 - March 10, 2006
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
February 20, 1998 - February 1, 2000
HAMBRECHT & QUIST LLC
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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