David L. Novak
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 L Novak, who also goes by Rudy Novak, Vladislav L Novak, Vladislaw Novak, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 11 firms and has passed the Series 63, 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
June 13, 2017 - April 25, 2018
GREAT POINT CAPITAL LLC
February 21, 2014 - September 25, 2015
FORESTERS EQUITY SERVICES, INC.
January 27, 2012 - May 1, 2012
QUESTAR CAPITAL CORPORATION
December 5, 2006 - April 23, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
February 9, 2004 - September 25, 2006
BROOKSTREET SECURITIES CORPORATION
November 19, 2001 - February 12, 2002
LADENBURG CAPITAL MANAGEMENT INC.
May 8, 2001 - July 6, 2001
ALEXANDER, WESCOTT, & CO., INC.
April 5, 2001 - May 7, 2001
CONTINENTAL BROKER-DEALER CORP.
December 18, 2000 - March 27, 2001
TORREY PINES SECURITIES, INC.
August 31, 2000 - October 20, 2000
GILFORD SECURITIES INCORPORATED
March 14, 2000 - August 29, 2000
DONALD & CO. SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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