David A. Spector
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 Alan Spector, who also goes by David A Spector, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 6 firms and has passed the Series 63, 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
October 5, 1998 - May 4, 2006
BEECH HILL SECURITIES, INC.
January 6, 1997 - September 18, 1998
WORLD FINANCIAL SERVICES, INC.
July 16, 1991 - January 7, 1997
BEECH HILL SECURITIES, INC.
April 26, 1988 - July 1, 1991
FIRST NEW YORK SECURITIES L.L.C.
January 12, 1987 - May 5, 1988
ATALANTA SOSNOFF MANAGEMENT, LLC
May 8, 1975 - October 20, 1986
LADENBURG THALMANN & CO. INC.
December 11, 1970 - May 22, 1975
JSC 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 1
Date: 12/22/1959
Registered Representative ExaminationSeries 40
Date: 6/14/1967
Registered Principal ExaminationCurrent Firm
BEECH HILL SECURITIES, INC.
CRD#: 24771 / SEC#: , 8-41389
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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