David M. 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.
David Matthew Davis, who also goes by David M Davis, 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 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2012 - April 25, 2013
COLORADO FINANCIAL SERVICE CORPORATION
July 17, 2012 - April 25, 2013
COLORADO FINANCIAL SERVICE CORPORATION
November 18, 2010 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
November 18, 2010 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
October 21, 2005 - November 17, 2010
VOYA FINANCIAL ADVISORS, INC.
October 19, 2005 - November 17, 2010
VOYA FINANCIAL ADVISORS, INC.
May 17, 2002 - October 20, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 14, 2002 - October 20, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 9, 1998 - March 20, 2002
SENTRA SECURITIES CORPORATION
February 19, 1998 - June 9, 1998
SUNAMERICA 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
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
