David J. Rights
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 Rights, who also goes by David J Rights, David Rights, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1969. David had worked at 4 firms and has passed the Series 65, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2013 - April 22, 2015
GRANT WILLIAMS L.P.
March 6, 2007 - January 20, 2012
GRANT WILLIAMS L.P.
March 19, 1996 - January 6, 2006
RTE SECURITIES, INC.
July 29, 1991 - December 31, 2007
RTE ASSET MANAGEMENT
April 25, 1969 - March 26, 1996
LINCOLN INVESTMENT
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: 4/14/1969
Registered Representative ExaminationCurrent Firm
GRANT WILLIAMS L.P.
CRD#: 45961 / SEC#: , 8-51249
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PORTFOLIO SOLUTIONS LLC | SHAREHOLDER | |
| GRANT, STEVEN TAYLOR | PRESIDENT, CEO, CCO, CFO | 826826 |
| GRW, INC. | GENERAL PARTNER |
Disclosures
| Regulatory Event | 2 |
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.
