David H. Baudo
Professional summary
David Harry, Michael Baudo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, David had worked at 7 firms, which includes INVESTORS CAPITAL CORP., MERRIMAC CORPORATE SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, QUICK & REILLY INC., TD AMERITRADE INC., DAVID LERNER ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2008 - June 15, 2009
INVESTORS CAPITAL CORP.
October 24, 2008 - June 15, 2009
INVESTORS CAPITAL CORP.
December 14, 2007 - October 27, 2008
MERRIMAC CORPORATE SECURITIES, INC.
November 29, 2006 - December 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 2006 - December 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2004 - November 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
December 15, 2003 - July 9, 2004
QUICK & REILLY, INC.
July 1, 2002 - December 4, 2003
TD AMERITRADE, INC.
March 14, 2001 - May 24, 2002
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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