David M. Costello
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 Michael Costello, who also goes by D. Michael Costello, Mike Costello, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, Series 62, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2009 - August 23, 2021
DCF, LLC
April 27, 2004 - July 13, 2004
NATIONAL PLANNING CORPORATION
August 16, 2000 - May 3, 2004
FSC SECURITIES CORPORATION
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: 3/5/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/5/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 3/5/2024
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCurrent Firm
DCF, LLC
CRD#: 149102 / SEC#: , 8-68111
Contact information
FINRA licenses (8 States and Territories)
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.
