David L. Printy
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 Lee Printy was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 10 firms and has passed the Series 63, Series 1 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
January 27, 1994 - August 5, 1994
TRUSTED SECURITIES ADVISORS CORP.
March 13, 1991 - September 16, 1993
WOODBURY FINANCIAL SERVICES, INC.
January 10, 1989 - March 20, 1989
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
November 6, 1981 - March 4, 1987
MORISON SECURITIES, INC.
November 14, 1979 - August 13, 1981
CHARLTON INVESTMENT SERVICES CORPORATION
May 5, 1978 - July 2, 1979
DAIN RAUSCHER INCORPORATED
September 13, 1976 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
September 2, 1975 - November 4, 1976
PW SECURITIES, INC.
December 10, 1974 - August 21, 1975
ARM SECURITIES CORPORATION
July 25, 1973 - January 14, 1975
LINCOLN FINANCIAL DISTRIBUTORS, 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: 7/17/1973
Registered Representative ExaminationSeries 40
Date: 8/17/1978
Registered Principal ExaminationCurrent Firm
TRUSTED SECURITIES ADVISORS CORP.
CRD#: 24049 / SEC#: , 8-40877
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONY SECURITIES CORPORATION | 100% OWNER | 4386 |
| DAMBRISI, PHILIP PAUL | PRESIDENT | 1429134 |
| ENGEBRETSON, RICHARD LYNN | CHAIRMAN AND DIRECTOR | 1933047 |
| LOONEY, TIMOTHY ANDREW | FINOP/FINANCIAL OFFICER | 2727098 |
| LYLE, TIMOTHY JAMES | VP AND CHIEF COMPLIANCE OFFICER | 1111138 |
| MCCLELLAN, CATHERINE RICHARDS | SECRETARY | 1453119 |
| ORLUCK, STEVEN GEORGE | DIRECTOR | 844977 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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