David A. Eisenberg
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 Andrew Eisenberg, who also goes by David Eisenberg, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2010. David had worked at 5 firms and has passed the Series 63 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
April 8, 2013 - September 17, 2013
T.R. WINSTON & COMPANY, LLC
February 6, 2013 - March 15, 2013
CORINTHIAN PARTNERS, L.L.C.
January 18, 2012 - February 8, 2013
JOHN THOMAS FINANCIAL
September 21, 2011 - January 17, 2012
BMA SECURITIES, LLC
July 12, 2010 - September 16, 2011
CRESTA CAPITAL STRATEGIES, 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
Current Firm
T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
