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David R Carson
DAVID RAYMOND CARSON, David Carson
CRD#: 2437709
IA
B
EDWARD JONESCRD#: 250 3607 TAMIAMI TRL N
NAPLES, FL 34103
NAPLES, FL 34103
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7/21/2021
Financial
Final
6/30/2020
Financial
Final
5/15/2019
Financial
Final
State Registrations
B
Colorado 2/15/2024
B
New York 2/14/2024
B
Connecticut 2/15/2024
B
North Carolina 2/16/2024
B
Florida 1/3/2024
B
Ohio 2/15/2024
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Florida 1/8/2024
B
South Carolina 2/15/2024
B
Georgia 2/15/2024
B
Texas 2/15/2024
B
New Jersey 2/14/2024
IA
Texas 2/21/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/8/2024
B
Registered with this firm since 12/4/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/21/2006 - 11/30/2011 | NEW YORK, NY | |
B | 07/09/2004 - 06/28/2006 | NEW YORK CITY, NY | |
B | 02/05/2003 - 07/07/2004 | NEW YORK, NY | |
B | 09/13/2002 - 01/22/2003 | NEW YORK, NY | |
B | 06/15/2001 - 01/29/2002 | NEW YORK, NY | |
B | 01/26/1996 - 06/15/2001 | BOSTON, MA | |
B | 01/04/1996 - 01/26/1996 | ||
B | 03/03/1994 - 12/31/1995 | BETHESDA, MD |
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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.
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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.