David L. Dates
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 Lawrence Dates was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 1977 - December 31, 2001
WRP INVESTMENTS, INC.
July 7, 1976 - May 4, 1977
MANAGED INVESTMENTS, INC.
October 24, 1973 - July 23, 1976
August 15, 1973 - November 30, 1973
SOUTHMARK FINANCIAL SERVICES, INC.
May 17, 1973 - March 21, 1974
May 17, 1973 - March 21, 1974
FINANCIAL SERVICES CORP OF AMERICA
May 1, 1972 - June 29, 1973
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 1
Date: 4/22/1972
Registered Representative ExaminationCurrent Firm
WRP INVESTMENTS, INC.
CRD#: 7365 / SEC#: 801-39365, 8-21374
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 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.
