David Fastenberg
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 Fastenberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 6 firms and has passed the Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2018 - December 31, 2018
THE LEADERS GROUP, INC.
February 7, 2007 - June 30, 2016
THE LEADERS GROUP, INC.
April 29, 2005 - December 31, 2005
ESSEX SECURITIES LLC
July 20, 2000 - April 29, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
July 21, 1998 - March 8, 1999
THE INVESTMENT CENTER, INC.
February 18, 1982 - September 13, 1996
PRUCO SECURITIES, LLC.
February 22, 1977 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 2/14/1977
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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