David E. Pagel
Professional summary
David Ernest Pagel 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 professional and started their career in finance in 1974. Prior to being barred, David had worked at 5 firms, which includes FIRST PREFERRED INVESTMENT CORPORATION, COLLIERS SECURITIES LLC, PAGEL INC., EFFRESS & GOLDMAN INCORPORATED, CRAIG-HALLUM INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 1984 - July 1, 1988
FIRST PREFERRED INVESTMENT CORPORATION
August 17, 1982 - September 21, 1984
COLLIERS SECURITIES LLC
November 22, 1974 - August 6, 1982
PAGEL INC.
July 30, 1974 - November 22, 1974
EFFRESS & GOLDMAN INCORPORATED
June 3, 1974 - August 31, 1974
CRAIG-HALLUM, INC.
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: 5/30/1974
Registered Representative ExaminationCurrent Firm
FIRST PREFERRED INVESTMENT CORPORATION
CRD#: 1110 / SEC#: , 8-3049
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.
