David R. Urshel
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 R Urshel was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 2 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 1971 - May 16, 1973
INDUSTRY SAVINGS PLANS, INC.
May 7, 1970 - December 8, 2014
NEW ENGLAND SECURITIES
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: 4/28/1970
Registered Representative ExaminationCurrent Firm
INDUSTRY SAVINGS PLANS, INC.
CRD#: 425 / SEC#: , 8-12400
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PREFERRED FINANCIAL CORPORATION | CORPORATION | |
| ASHTON, JOANNE ELIZABETH | SEC/TREAS FINANCIAL PRINCIPAL, CHIEF COMPLIANCE OFFICER | 1076411 |
| NEWSOM, LARRY JOSEPH | DIRECTOR | 2110622 |
| PAVLETICH, DAVID JOHN | DIRECTOR | 2169608 |
| STONE, MICHAEL JOHN BALAGNA | PRESIDENT, EXECUTIVE PRINCIPAL, DIRECTOR | 818645 |
| WELLS, PATRICIA ANN | VICE PRESIDENT | 2312278 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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