David J. Sinclair
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 Jonathan Sinclair was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 3 firms and has passed the Series 7A exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2006 - March 1, 2007
MACK TRADING LLC
August 9, 2005 - September 26, 2006
SGI, LLC
June 27, 2003 - August 5, 2005
SAMUEL WEISS & CO., INC.
May 28, 1998 - October 27, 2004
SGI, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7A
Date: 3/26/2003
Floor Broker Representative ExamCurrent Firm
MACK TRADING LLC
CRD#: 37402 / SEC#: , 8-47789
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.
