David L. Pines
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 Leslie Pines was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1971. David had worked at 15 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, Series 000, Series 1, Series 10, Series 9, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2017 - November 7, 2023
MOORS & CABOT, INC.
July 30, 2010 - October 2, 2017
MORGAN STANLEY
July 10, 2008 - July 30, 2010
OPPENHEIMER & CO. INC.
November 14, 2006 - July 10, 2008
NEWBRIDGE SECURITIES CORPORATION
December 21, 2001 - November 22, 2006
RYAN BECK & CO.
February 15, 1994 - January 8, 2002
GRUNTAL & CO., L.L.C.
February 14, 1992 - January 24, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 27, 1990 - March 20, 1992
UBS FINANCIAL SERVICES INC.
October 30, 1989 - November 20, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 1988 - November 7, 1989
KIDDER, PEABODY & CO. INCORPORATED
July 30, 1982 - October 11, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - August 17, 1982
MORGAN STANLEY DW INC.
December 2, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
September 17, 1976 - November 17, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 27, 1976 - October 18, 1976
BACHE HALSEY STUART INC.
February 22, 1971 - August 27, 1976
BACHE & CO INCORPORATED
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 5/10/1984
Foreign Currency Options ExaminationSeries 5
Date: 11/16/1981
Interest Rate Options ExaminationSeries 000
Date: 9/21/1968
General Securities Principal ExaminationSeries 1
Date: 9/21/1968
Registered Representative ExaminationSeries 12
Date: 3/1/1979
NYSE Branch Manager ExaminationSeries 40
Date: 10/17/1978
Registered Principal ExaminationCurrent Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
