David R. Lodge
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 Richard Lodge was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 3 firms and has passed the Series 63, Series 3, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 1984 - January 2, 1985
ASHTON YOUNG, INC.
December 21, 1983 - June 4, 1984
MARINER FINANCIAL SERVICES, INC.
June 23, 1980 - December 8, 1983
CANACCORD GENUITY LLC
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: 3/13/1962
Registered Representative ExaminationSeries 00
Date: 4/18/1974
General Securities Principal ExaminationCurrent Firm
ASHTON YOUNG, INC.
CRD#: 2827 / SEC#: , 8-8369
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
