David W. Dube
Professional summary
David William Dube was barred by both the FINRA and the SEC 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 4 firms, which includes PEAK WEALTH OPPORTUNITIES LLC, PEAK SECURITIES CORPORATION, COMPASS SECURITIES CORPORATION, FAB SECURITIES OF AMERICA INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2007 - December 31, 2009
PEAK WEALTH OPPORTUNITIES, LLC
June 28, 2007 - December 31, 2009
PEAK SECURITIES CORPORATION
October 24, 2002 - February 16, 2010
PEAK SECURITIES CORPORATION
February 23, 2000 - December 31, 2000
COMPASS SECURITIES CORPORATION
August 24, 1998 - September 2, 1999
FAB SECURITIES OF AMERICA, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PEAK WEALTH OPPORTUNITIES, LLC
CRD#: 144931 / SEC#: 801-68410
Contact information
Red Flags
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