David Traynor
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 Traynor, who also goes by David Rhame Traynor, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1969. David had worked at 10 firms and has passed the Series 65, Series 63, Series 7, PC, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2010 - December 31, 2012
GLOBAL RESEARCH ADVISORS D/B/A TRAYNOR INVESTMENT ADVISORS
February 1, 2005 - December 7, 2005
CAROLINA CAPITAL MARKETS, INC.
June 13, 1996 - June 13, 1997
JANNEY MONTGOMERY SCOTT LLC
December 7, 1995 - April 3, 1996
HOPPER SOLIDAY & CO., INC.
March 8, 1995 - September 19, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
April 15, 1991 - March 2, 1995
MORGAN STANLEY DW INC.
March 8, 1984 - March 18, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 17, 1981 - March 22, 1984
MORGAN STANLEY DW INC.
July 10, 1974 - December 4, 1981
CITIGROUP GLOBAL MARKETS INC.
March 8, 1972 - August 3, 1974
WEEDEN & CO.
October 22, 1969 - February 18, 1972
BUTCHER & SHERRERD
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
PC
Date: 1/7/1982
AMEX Put and Call ExamSeries 1
Date: 12/23/1968
Registered Representative ExaminationSeries 000
Date: 12/2/1968
General Securities Principal ExaminationCurrent Firm
GLOBAL RESEARCH ADVISORS D/B/A TRAYNOR INVESTMENT ADVISORS
CRD#: 152803 / SEC#:
Contact information
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.
