Randy A. David
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.
Randy Arlington David was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 2004. Randy had worked at 6 firms and has passed the 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
September 9, 2009 - August 30, 2022
EMPIRE ASSET MANAGEMENT COMPANY
July 27, 2006 - September 9, 2009
PRESTIGE FINANCIAL CENTER, INC.
April 13, 2006 - July 6, 2006
AURA FINANCIAL SERVICES, INC.
May 26, 2005 - March 15, 2006
FIRST HUDSON FINANCIAL GROUP, INC.
December 1, 2004 - January 10, 2005
VFINANCE INVESTMENTS, INC
March 4, 2004 - December 7, 2004
NATIONAL 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
Current Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
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.
