David H. Kanefsky
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 Howard Kanefsky, who also goes by David Kanefsky, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 6 firms and has passed the Series 66, Series 63, SIE, 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 14, 2013 - June 30, 2016
UNIFIED FINANCIAL SECURITIES, LLC
May 20, 2009 - May 27, 2009
PRUCO SECURITIES, LLC.
April 16, 2009 - May 27, 2009
PRUCO SECURITIES, LLC.
January 9, 2006 - May 22, 2007
GOLDMAN SACHS & CO. LLC
October 3, 2001 - December 31, 2005
BNY MELLON SECURITIES CORPORATION
January 7, 1999 - October 31, 2001
NYLIFE DISTRIBUTORS LLC
September 16, 1998 - November 5, 1999
NYLIFE SECURITIES 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
UNIFIED FINANCIAL SECURITIES, LLC
CRD#: 7868 / SEC#: , 8-23508
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULTIMUS FUND SOLUTIONS, LLC | OWNER | |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER | 2217795 |
Disclosures
| Regulatory Event | 4 |
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.
