David Weisberg
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 Weisberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2009. David had worked at 6 firms and has passed the Series 63, 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
November 8, 2016 - July 22, 2019
WORDEN CAPITAL MANAGEMENT LLC
November 11, 2015 - November 9, 2016
LEGEND SECURITIES, INC.
December 15, 2010 - October 21, 2014
LEGEND SECURITIES, INC.
April 22, 2010 - December 2, 2010
FIRST MIDWEST SECURITIES, INC.
September 10, 2009 - April 22, 2010
JHS CAPITAL ADVISORS, LLC
July 28, 2009 - September 23, 2009
THINKEQUITY LLC
January 19, 2009 - July 29, 2009
JOHN THOMAS FINANCIAL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
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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