David Song
Professional summary
David Song was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, David had worked at 5 firms, which includes INVESTORS CAPITAL CORP., WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, JOSEPHTHAL & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2010 - June 17, 2011
INVESTORS CAPITAL CORP.
December 19, 2007 - February 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2007 - February 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 29, 2007 - December 21, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 21, 2007
CITIGROUP GLOBAL MARKETS INC.
October 1, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 21, 2000 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 19, 1998 - December 6, 2000
JOSEPHTHAL & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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