David A. Bubas
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 Bubas, who also goes by David A Bubas, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 14 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 15 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
March 1, 2018 - January 16, 2019
ESPOSITO SECURITIES, LLC
March 25, 2015 - March 15, 2016
FIG PARTNERS, LLC
November 3, 2011 - April 30, 2015
DISCERN SECURITIES, INC.
December 24, 2010 - April 25, 2011
ABSHIER WEBB DONNELLY & BAKER, INC.
September 22, 2010 - April 25, 2011
ABSHIER WEBB DONNELLY & BAKER, INC.
December 18, 2007 - July 16, 2008
NOBLE CAPITAL MARKETS, INC.
July 19, 2004 - December 31, 2007
PALMWEST CAPITAL MANAGEMENT, LP
July 16, 2001 - January 7, 2004
HILLTOP SECURITIES INC.
June 5, 1998 - July 18, 2001
STEPHENS
March 2, 1998 - June 5, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 6, 1993 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
November 2, 1987 - April 24, 1990
CANTOR FITZGERALD & CO.
December 20, 1985 - November 10, 1987
THOMSON MCKINNON SECURITIES INC.
February 1, 1979 - January 6, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 5/24/1984
Foreign Currency Options ExaminationCurrent Firm
ESPOSITO SECURITIES, LLC
CRD#: 143710 / SEC#: , 8-67596
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
