David Sauberman
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 Sauberman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 7 firms and has passed the Series 63, Series 7, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1989 - June 25, 1991
MCCLURG CAPITAL CORPORATION
January 5, 1989 - January 12, 1989
THOMSON MCKINNON SECURITIES INC.
August 12, 1988 - December 21, 1988
BIRR WILSON, INC.
April 1, 1986 - August 12, 1988
BWS, INC.
December 24, 1981 - April 1, 1986
BIRR, WILSON & CO., INC.
July 9, 1973 - July 5, 1979
THOMSON MCKINNON SECURITIES INC.
August 10, 1971 - June 5, 1974
HALLE & STIEGLITZ, FILOR BULLARD, INC.
December 5, 1968 - July 12, 1971
WEIS SECURITIES, 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 000
Date: 6/17/1966
General Securities Principal ExaminationSeries 1
Date: 6/17/1966
Registered Representative ExaminationCurrent Firm
MCCLURG CAPITAL CORPORATION
CRD#: 16798 / SEC#: , 8-34473
Contact information
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 83,283,986 |
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.
