David P. Gardner
Professional summary
David P Gardner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, David had worked at 15 firms, which includes VFINANCE INVESTMENTS INC, MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., UBS FINANCIAL SERVICES INC., GRUNTAL & CO. L.L.C., CONTINENTAL BROKER-DEALER CORP., AMERICORP SECURITIES INC., REICH & CO. INC., PAULSON INVESTMENT COMPANY LLC, LOMBARD SECURITIES CORP., BERKELEY SECURITIES CORPORATION, PRESCOTT BALL & TURBEN INC., BAIRD PATRICK & CO. INC., PRUDENTIAL EQUITY GROUP LLC, E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2003 - July 20, 2006
VFINANCE INVESTMENTS, INC
October 23, 2002 - December 16, 2003
MAXIM GROUP LLC
May 14, 2002 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
September 3, 1999 - May 31, 2002
UBS FINANCIAL SERVICES INC.
May 20, 1997 - September 15, 1999
GRUNTAL & CO., L.L.C.
February 20, 1997 - May 8, 1997
CONTINENTAL BROKER-DEALER CORP.
May 18, 1993 - March 4, 1997
AMERICORP SECURITIES, INC.
August 21, 1991 - May 18, 1993
REICH & CO., INC.
May 18, 1990 - August 20, 1991
PAULSON INVESTMENT COMPANY LLC
January 18, 1990 - May 29, 1990
LOMBARD SECURITIES CORP.
November 20, 1989 - January 23, 1990
BERKELEY SECURITIES CORPORATION
October 15, 1987 - November 28, 1989
PRESCOTT, BALL & TURBEN, INC.
January 21, 1986 - October 20, 1987
BAIRD, PATRICK & CO., INC.
February 28, 1985 - January 9, 1986
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1981 - February 8, 1985
E. F. HUTTON & COMPANY 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
Current Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
Red Flags
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