David C. Kjellman
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 Christer Kjellman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 5 firms and has passed the Series 63, SIE, Series 55 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
December 16, 2013 - January 16, 2020
PORTFOLIO BROKERAGE SERVICES, INC.
February 28, 2006 - December 2, 2013
REGAL SECURITIES, INC.
April 21, 2004 - January 14, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
March 26, 2004 - April 1, 2004
NATIONAL SECURITIES CORPORATION
November 10, 2003 - January 9, 2004
GREAT POINT CAPITAL LLC
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 55
Date: 10/14/2004
Limited Representative-Equity Trader ExamCurrent Firm
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 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.
