David D. Brandt
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 Dean Brandt, who also goes by Dave Brandt, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2014 - October 27, 2015
1ST GLOBAL ADVISORS INC
September 9, 2014 - October 27, 2015
1ST GLOBAL CAPITAL CORP.
November 16, 2011 - September 9, 2014
AVANTAX PLANNING PARTNERS, INC.
November 2, 2011 - September 24, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 9, 2003 - December 8, 2006
BRANDT, DAVID D.
December 28, 1998 - November 14, 2011
1ST GLOBAL ADVISORS INC
August 24, 1998 - November 8, 2011
1ST GLOBAL CAPITAL CORP.
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
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
