David P. Lein
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 Paul Lein, who also goes by David P Lein, David Paul Lien, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1971. David had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1987 - October 13, 1988
SACKS INVESTMENT COMPANY, INC.
March 20, 1985 - January 12, 1987
FIRST AFFILIATED SECURITIES, INC.
April 11, 1977 - August 26, 1985
SUTRO & CO. INCORPORATED
May 15, 1975 - February 27, 1976
SHEARSON HAYDEN STONE INC.
October 5, 1973 - July 10, 1974
ROBERTS, SCOTT & CO., INC.
September 8, 1971 - October 30, 1973
FIRST CALIFORNIA COMPANY, INCORPORATED
March 23, 1971 - August 12, 1971
BACHE & CO INCORPORATED
January 21, 1971 - April 18, 1971
EDWARD JONES
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
Series 1
Date: 12/12/1961
Registered Representative ExaminationCurrent Firm
SACKS INVESTMENT COMPANY, INC.
CRD#: 16377 / SEC#: , 8-33844
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.
