Patrick M. 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.
Patrick Marvin David was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2003. Patrick had worked at 5 firms and has passed the Series 63, Series 79TO, 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
May 19, 2016 - August 9, 2022
THE ROCKWELL FINANCIAL GROUP, INC.
June 12, 2014 - May 13, 2016
CALDWELL INTERNATIONAL SECURITIES
September 14, 2004 - June 12, 2014
REID & RUDIGER LLC
January 27, 2004 - August 24, 2004
S.W. BACH & COMPANY
June 13, 2003 - February 12, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
THE ROCKWELL FINANCIAL GROUP, INC.
CRD#: 26153 / SEC#: , 8-42399
Contact information
FINRA licenses (25 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
