David C. Avery
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 Charles Avery, who also goes by David C Avery, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 6 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 1997 - December 31, 2002
CATAMOUNT INVESTMENT STRATEGIES, INC.
July 1, 1992 - January 6, 1994
SECURITIES AMERICA, INC.
May 19, 1992 - December 31, 2017
PREFERRED TAX AND INVESTMENT ADVISORS, INC.
September 6, 1989 - July 14, 1992
OSAIC FS, INC.
January 23, 1980 - September 15, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 1, 1979 - February 3, 1980
FINANCIAL CONSULTANTS, 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 1
Date: 2/24/1979
Registered Representative ExaminationCurrent firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
