Vladimir R. 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.
Vladimir Richard David, who also goes by Vladimir David, was a registered financial professional .
Vladimir is a previously registered financial professional and started their career in finance in 2009. Vladimir had worked at 4 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
January 24, 2023 - December 31, 2023
CAPE SECURITIES INC.
September 30, 2016 - August 9, 2022
THE ROCKWELL FINANCIAL GROUP, INC.
May 3, 2013 - August 17, 2016
NATIONAL SECURITIES CORPORATION
November 9, 2009 - February 11, 2013
REID & RUDIGER LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 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.
