David M. Improta
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 Michael Improta, who also goes by David Michael Imrprota, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2017. David had worked at 2 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 57 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 9, 2022 - April 15, 2024
WALLACHBETH CAPITAL LLC
April 6, 2017 - June 15, 2020
SANTANDER INVESTMENT SECURITIES INC.
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 7TO
Date: 3/12/2022
General Securities Representative ExaminationSeries 57TO
Date: 3/12/2022
Securities Trader ExamCurrent Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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