DR
David S. Rapoport
SIGNAL SECURITIES
SANTA ROSA, CA
Some features on this profile are disabled
CRD#: 704317
DR
Professional summary
David Scott Rapoport, who also goes by Dave Rapoport, is a registered financial professional currently at SIGNAL SECURITIES, INC. located in Santa Rosa, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1983. David has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Rapoport
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Scott Rapoport's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 22, 2003 - Present
SIGNAL SECURITIES, INC.
RIA
BD
CRD#: 15916
SANTA ROSA, CA
Past
July 20, 1999 - December 31, 2002
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
March 31, 1999 - July 22, 1999
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
June 3, 1994 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
March 30, 1992 - June 21, 1994
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
Past
August 5, 1985 - August 8, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 5, 1983 - August 16, 1985
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/22/2003)
RR
Georgia(4/5/2023)
RR
Maryland(3/6/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/28/1980
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
700 Throckmorton Street, Fort Worth, TX 76102
Mailing Address
700 Throckmorton Street, Fort Worth, TX 76102-5036
Phone number
(817) 877-4256
Established
Texas since 09/24/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35
SEC notice filing (15 States and Territories)
FINRA licenses (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,920 |
| AUM (Assets Under Management) | $ 679,084,856 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
