David L. Arlein
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 Leslie Arlein was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 18 firms and has passed the Series 63, Series 7TO, SIE 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
March 12, 2014 - October 26, 2022
CABOT LODGE SECURITIES LLC
June 15, 2009 - February 28, 2014
FINTEGRA, LLC
June 24, 2002 - December 10, 2008
EMPIRE FINANCIAL GROUP, INC.
January 17, 2001 - June 18, 2002
RUSHMORE SECURITIES CORPORATION
September 1, 2000 - March 12, 2001
NORTHSTAR SECURITIES, INC.
February 1, 1996 - September 1, 2000
SIGMA FINANCIAL CORPORATION
January 1, 1996 - January 30, 1996
IFG NETWORK SECURITIES, INC.
July 14, 1989 - January 1, 1996
WEALTH BUILDERS EQUITY CORPORATION
January 11, 1989 - July 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 29, 1988 - December 31, 1988
CADARET, GRANT & CO., INC.
February 23, 1988 - November 22, 1988
FOCUS SECURITIES, INC.
June 26, 1987 - February 4, 1988
MONARCH INVESTMENTS INC.
July 15, 1986 - July 6, 1987
EXETER SECURITIES CORPORATION
May 1, 1985 - July 9, 1986
RADFORD CAPITAL CORPORATION
February 21, 1985 - May 5, 1986
CONCORD ASSETS SECURITIES, INC.
July 6, 1984 - February 4, 1985
REVIEW MANAGEMENT CORPORATION
April 19, 1983 - April 18, 1985
PENNSYLVANIA SECURITIES COMPANY
June 8, 1970 - October 8, 1983
INTERCONTINENTAL SECURITIES, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/17/1968
Registered Representative ExaminationCurrent Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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