David S. Lurie
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 Samuel Lurie was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2014 - April 26, 2016
IMS SECURITIES, INC.
September 7, 2012 - May 30, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 1, 2006 - November 18, 2011
PRINCIPAL SECURITIES, INC.
October 24, 2006 - July 31, 2012
PRINCIPAL SECURITIES, INC.
August 22, 2003 - November 9, 2006
MSI FINANCIAL SERVICES, INC.
August 12, 2003 - November 9, 2006
METROPOLITAN LIFE INSURANCE COMPANY
August 12, 2003 - November 9, 2006
MSI FINANCIAL SERVICES, INC.
December 16, 1996 - August 1, 2003
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 13, 1996 - August 1, 2003
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 19, 1994 - October 21, 1996
VERAVEST INVESTMENTS, INC.
September 30, 1994 - November 30, 1994
G. R. PHELPS & CO., INC.
June 16, 1994 - November 30, 1994
G. R. PHELPS & CO., INC.
February 21, 1980 - December 31, 1989
G. R. PHELPS & CO., INC.
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: 2/8/1980
Registered Representative ExaminationCurrent Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
