David Weinstein
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 Weinstein was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1967. David had worked at 9 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1999 - November 16, 2011
PRIME CAPITAL SERVICES, INC.
January 8, 1999 - October 5, 2011
PARAMOUNT FINANCIAL ADVISORS INC.
September 8, 1992 - December 16, 1999
INVESTORS BROKERAGE SERVICES, INC.
February 21, 1986 - July 22, 1988
PHILADELPHIA FINANCIAL ADVISORS, INC.
July 22, 1985 - December 31, 1989
INVESTORS BROKERAGE SERVICES, INC.
July 20, 1982 - December 31, 1989
INVESTORS BROKERAGE SERVICES, INC.
October 15, 1976 - January 30, 1979
MUTUAL FUND SPECIALISTS, INC.
May 13, 1976 - August 19, 1992
PHILADELPHIA FINANCIAL ADVISORS, INC.
September 20, 1972 - May 17, 1976
TEXAS INTERNATIONAL FINANCIAL SERVICES, INC.
May 6, 1971 - April 1, 1972
G.K. ALLEN & CO. INC.
August 15, 1967 - May 23, 1971
J. D. ANDREWS CO.
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: 9/13/1962
Registered Representative ExaminationF04
Date: 5/6/1976
Financial Principal ExaminationSeries 00
Date: 7/10/1967
General Securities Principal ExaminationCurrent Firm
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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