David Licht
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 Licht was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2003 - March 17, 2005
LH ROSS & COMPANY, INC.
February 14, 2003 - October 17, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
November 14, 2001 - February 13, 2002
POINT DIREX SECURITIES, LLC
March 27, 2001 - November 16, 2001
CARLIN EQUITIES, LLC
December 19, 2000 - April 4, 2001
SUNSTATE EQUITY TRADING
July 7, 1999 - December 19, 2000
FRANKLIN ROSS, INC.
November 20, 1998 - October 21, 1999
GKN SECURITIES 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
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
