Robert L. 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.
Robert Larry David, who also goes by Bob David, Bobv David, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 11 firms and has passed the Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - September 16, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 18, 1990 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 11, 1989 - February 20, 1990
STUART, COLEMAN & CO., INC.
March 16, 1989 - May 8, 1989
ALISON, BAER SECURITIES INC.
November 23, 1988 - March 30, 1989
H. L. MICHAELS SECURITIES, INC.
July 1, 1987 - October 5, 1987
DOMESTIC ARBITRAGE GROUP, INC.
June 23, 1987 - October 22, 1987
FIRST ATLANTIC INVESTMENT CORP.
February 6, 1979 - April 8, 1987
GRUNTAL & CO., L.L.C.
June 20, 1974 - February 23, 1979
KUHNS BROTHERS & LAIDLAW, INC.
July 15, 1971 - March 6, 1974
DUPONT WALSTON, INCORPORATED
May 25, 1971 - July 24, 1971
EDWARDS & HANLY
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 5
Date: 12/8/1982
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
