David W. House
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 Wayne House was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 9 firms and has passed the Series 66, Series 65, 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
June 20, 2018 - December 3, 2018
CG CAPITAL MANAGEMENT, LLC
July 15, 2015 - November 30, 2018
CG CAPITAL MARKETS, LLC
October 15, 2014 - August 28, 2015
CAPITAL GUARDIAN, LLC
January 17, 2008 - October 2, 2013
JVB FINANCIAL GROUP, LLC
August 16, 2006 - January 22, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
August 15, 2006 - January 22, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
November 30, 2005 - August 24, 2006
GUNNALLEN FINANCIAL, INC
June 9, 2005 - August 24, 2006
GUNNALLEN FINANCIAL, INC
April 10, 2003 - June 1, 2005
FRANKLIN NATIONAL FINANCIAL GROUP, LLC
November 12, 1998 - February 24, 2000
SII INVESTMENTS, INC.
April 30, 1998 - December 15, 1998
SOUTHERN CAPITAL 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
CG CAPITAL MANAGEMENT, LLC
CRD#: 283988 / SEC#: 801-108300
Contact information
Documents
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.
