David C. Sorrells
Professional summary
David Charles Sorrells was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, David had worked at 8 firms, which includes FOOTHILL SECURITIES INC., CUE FINANCIAL GROUP INC., J.P. TURNER & COMPANY L.L.C., FIRST FOUNDERS SECURITIES INC., STONEX SECURITIES INC., WILBANKS SECURITIES INC., UNITED SECURITIES ALLIANCE INC., WMA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2009 - April 12, 2010
FOOTHILL SECURITIES, INC.
April 14, 2009 - August 3, 2009
CUE FINANCIAL GROUP, INC.
October 31, 2008 - April 14, 2009
J.P. TURNER & COMPANY, L.L.C.
June 18, 2004 - October 31, 2008
FIRST FOUNDERS SECURITIES, INC.
December 11, 2002 - June 18, 2004
STONEX SECURITIES INC.
February 19, 2002 - December 31, 2002
WILBANKS SECURITIES, INC.
August 7, 2000 - March 5, 2002
UNITED SECURITIES ALLIANCE, INC.
October 30, 1997 - August 2, 2000
WMA SECURITIES, 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
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
