David J. Dambra
Professional summary
David John Dambra was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, David had worked at 5 firms, which includes ROCKWELL GLOBAL CAPITAL LLC, FIRST MIDWEST SECURITIES INC., JHS CAPITAL ADVISORS LLC, AURA FINANCIAL SERVICES INC., ITRADEDIRECT.COM CORP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2011 - March 21, 2012
ROCKWELL GLOBAL CAPITAL LLC
January 8, 2010 - March 8, 2011
FIRST MIDWEST SECURITIES, INC.
July 27, 2009 - December 31, 2009
JHS CAPITAL ADVISORS, LLC
April 18, 2007 - July 28, 2009
AURA FINANCIAL SERVICES, INC.
September 18, 2006 - April 18, 2007
ITRADEDIRECT.COM CORP
October 19, 2005 - September 18, 2006
AURA FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 10/18/2005
Corporate Securities Limited Representative ExaminationCurrent Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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