Antonio B. 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.
Antonio Berdell Davis, who also goes by Antonio Davis, Tony Davis, was a registered financial professional .
Antonio is a previously registered financial professional and started their career in finance in 1997. Antonio had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 53 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 12, 2008 - March 9, 2012
FIRST SOUTHWEST COMPANY, LLC
November 1, 2007 - May 12, 2008
HILLTOP SECURITIES INC.
September 7, 2007 - November 2, 2007
1ST GLOBAL CAPITAL CORP.
October 12, 2005 - August 30, 2007
LPL FINANCIAL LLC
December 13, 1999 - May 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 1999 - May 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1997 - February 8, 1999
FIDELITY DISTRIBUTORS COMPANY 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
Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
