David B. Schneider
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 Barry Schneider was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 5 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, 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
February 2, 2004 - December 23, 2021
T.R. WINSTON & COMPANY, LLC
February 8, 1980 - February 2, 2004
CARR SECURITIES CORPORATION
April 11, 1975 - December 18, 1979
J. W. WELLER & CO., INC.
September 8, 1972 - July 8, 1974
DMR SECURITIES, INC.
March 19, 1968 - July 19, 1972
LAPHAM AND COMPANY
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/21/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 3/15/1968
Registered Representative ExaminationSeries 40
Date: 6/5/1978
Registered Principal ExaminationCurrent Firm
T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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