Individual Firm
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CARTER DAVID MANSBACH
CRD#: 2275878
IA
B
ATCAP PARTNERS, LLCCRD#: 158214 Jupiter, FL
CEROS FINANCIAL SERVICES, INC.CRD#: 37869 Jupiter, FL
View By:
10/19/2020
Customer Dispute
Settled
1/18/2019
Financial
Final
7/25/2011
Customer Dispute
Closed-No Action
State Registrations
B
California 7/21/2022
B
Nevada 8/2/2022
B
Connecticut 7/22/2022
B
New Jersey 7/21/2022
B
Florida 7/21/2022
B
New York 7/21/2022
IA
Florida 11/8/2022
B
North Carolina 7/22/2022
B
Georgia 7/21/2022
B
Ohio 1/31/2025
B
Illinois 8/1/2022
B
Pennsylvania 7/21/2022
B
Maine 7/22/2022
B
Texas 7/21/2022
B
Maryland 7/21/2022
B
Washington 8/2/2022
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/23/2017 - 07/21/2022 | NEW YORK, NY | |
B | 02/10/2017 - 07/21/2022 | JUPITER, FL | |
IA | 03/15/2016 - 03/09/2017 | JUPITER, FL | |
B | 11/16/2011 - 03/09/2017 | JUPITER, FL | |
B | 10/23/2006 - 11/16/2011 | JUNO BEACH, FL | |
B | 01/24/2003 - 11/03/2006 | ISELIN, NJ | |
B | 10/16/2002 - 02/21/2003 | ORLANDO, FL | |
B | 05/09/2001 - 10/21/2002 | ST. LOUIS, MO | |
B | 07/21/1999 - 06/05/2001 | ISELIN, NJ | |
B | 12/10/1997 - 07/28/1999 | NEW YORK, NY | |
B | 01/06/1997 - 12/18/1997 | NEW YORK, NY | |
B | 04/25/1996 - 01/03/1997 | NEW YORK, NY | |
B | 10/21/1994 - 05/16/1996 | SYOSSET, NY | |
B | 07/14/1994 - 10/28/1994 | NEW YORK, NY | |
B | 04/14/1994 - 07/01/1994 | NEW YORK, NY | |
B | 07/02/1993 - 01/01/1994 | NEW YORK, NY |
NEW YORK, NY
01/06/1997 - 12/18/1997
NEW YORK, NY
04/25/1996 - 01/03/1997
NEW YORK, NY
04/14/1994 - 07/01/1994
NEW YORK, NY
07/02/1993 - 01/01/1994
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.