David A. Yungkau
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 Alan Yungkau was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 13 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2017 - November 12, 2019
AGES FINANCIAL SERVICES, LTD.
October 17, 2014 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
April 14, 2014 - October 15, 2014
BONWICK CAPITAL PARTNERS, LLC
May 17, 2011 - April 8, 2014
GARDEN STATE SECURITIES, INC.
December 15, 2006 - May 17, 2011
NATIONAL SECURITIES CORPORATION
June 1, 2004 - December 18, 2006
FIRST MONTAUK SECURITIES CORP.
October 18, 1996 - June 1, 2004
HD BROUS & CO., INC.
January 22, 1991 - October 29, 1996
ROSS, SINCLAIRE & ASSOCIATES, LLC
August 5, 1988 - January 8, 1991
INVESTORS CHOICE SECURITIES INC.
October 25, 1983 - July 23, 1988
MERIT FINANCIAL CORPORATION
April 3, 1981 - November 8, 1983
E. F. HUTTON & COMPANY INC
February 25, 1980 - April 13, 1981
THOMSON MCKINNON SECURITIES INC.
November 1, 1978 - November 25, 1979
G.C.N. CORP.
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 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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