David N. Mahler
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 Norman Mahler was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 16 firms and has passed the Series 65, Series 63, Series 79, Series 3, Series 55, Series 15, Series 7, Series 10, Series 9, Series 30, Series 14, Series 27, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2012 - May 8, 2013
TOV CAPITAL MARKETS, INC.
March 27, 2009 - February 3, 2011
LEVELX CAPITAL LLC
March 30, 2006 - March 14, 2008
TRADESTATION SECURITIES, INC.
March 8, 2005 - March 20, 2006
SG AMERICAS SECURITIES, LLC
November 20, 2002 - February 28, 2005
EQUITABLE DISTRIBUTORS, LLC
February 28, 2000 - February 28, 2005
EQUITABLE ADVISORS, LLC
October 16, 1997 - November 23, 1998
PRIME CHARTER LTD.
May 20, 1997 - October 1, 1997
TALLEY & COMPANY
August 29, 1994 - June 13, 1995
TALLEY & COMPANY
January 7, 1993 - May 27, 1994
YAEGER SECURITIES, INC.
May 13, 1991 - December 31, 1992
QUEST CAPITAL STRATEGIES, INC.
November 7, 1990 - December 5, 1990
REPUBLIC SECURITIES, INC.
April 25, 1990 - October 19, 1990
KINETIC CAPITAL INC
April 4, 1988 - January 1, 1990
QUEST CAPITAL STRATEGIES, INC.
October 8, 1986 - January 1, 1988
GLENFED BROKERAGE SERVICES
August 8, 1983 - September 11, 1986
CHARLES SCHWAB & CO., INC.
January 28, 1981 - April 23, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 1980 - June 8, 1981
THOMSON MCKINNON 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 55
Date: 7/8/1998
Limited Representative-Equity Trader ExamSeries 15
Date: 9/19/1990
Foreign Currency Options ExaminationCurrent Firm
TOV CAPITAL MARKETS, INC.
CRD#: 158569 / SEC#: , 8-68909
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
