David J. Mahanes
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 James Mahanes, who also goes by David James Mahanes III, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2023 - September 18, 2023
GREAT POINT CAPITAL LLC
July 30, 2020 - July 25, 2023
TSG CAPITAL ADVISORS
September 18, 2013 - August 15, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 18, 2013 - August 15, 2019
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2011 - August 22, 2013
SYNOVUS SECURITIES, INC.
November 3, 2011 - August 22, 2013
SYNOVUS SECURITIES, INC.
October 23, 2009 - October 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 7, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 20, 2000 - April 17, 2002
ABN AMRO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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