David L. Braunlich
Professional summary
David Lonsdale Braunlich was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David Lonsdale Braunlich was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 8 firms and has passed the SIE, Series 7, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2019 - May 10, 2019
PTR, INC.
January 26, 2017 - February 15, 2019
BENJAMIN & JEROLD BROKERAGE I, LLC
June 7, 2011 - December 31, 2016
MONTECITO ADVISORS, INC.
November 21, 2003 - February 15, 2019
DLB SECURITIES L.L.C.
May 23, 2001 - July 17, 2003
UBS SECURITIES LLC
May 19, 1980 - June 25, 2001
UBS FINANCIAL SERVICES INC.
September 28, 1977 - August 12, 1979
DOMIK CORP.
April 1, 1977 - December 12, 1977
OSCAR GRUSS & SON INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 12
Date: 12/7/1977
NYSE Branch Manager ExaminationCurrent Firm
PTR, INC.
CRD#: 31559 / SEC#: , 8-39854
Contact information
Documents
Disclosures
| Regulatory Event | 28 |
Red Flags
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