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DAVID WILLIAM SOUTER
CRD#: 2744476
IA
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EQUITABLE ADVISORS, LLCCRD#: 6627 2050 MAIN STREET
SUITE 520
IRVINE, CA 92614
SUITE 520
IRVINE, CA 92614
0
Disclosures
19
Years of Experience
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State Registrations
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California 2/15/2022
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Oregon 2/15/2022
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California 2/15/2022
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South Carolina 3/19/2024
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Oregon 2/15/2022
IA
South Carolina 3/26/2024
SRO Registrations
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Registered with this firm since 2/15/2022
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Registered with this firm since 2/15/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/30/2017 - 02/28/2022 | Lake Oswego, OR | |
B | 10/03/2017 - 02/28/2022 | Lake Oswego, OR | |
B | 07/29/2011 - 07/10/2012 | IRVINE, CA | |
B | 11/20/2008 - 07/15/2010 | SAN FRANCISCO, CA | |
B | 08/13/2008 - 11/04/2008 | NEW YORK, NY | |
B | 08/06/2007 - 07/15/2008 | NEWPORT BEACH, CA | |
B | 01/31/2007 - 07/23/2007 | SAN DIEGO, CA | |
IA | 01/01/2003 - 01/14/2007 | SAN DIEGO, CA | |
B | 05/30/2000 - 07/09/2001 | NEW YORK, NY | |
B | 06/14/1996 - 07/01/1999 | CHARLOTTE, NC |
SAN FRANCISCO, CA
11/20/2008 - 07/15/2010
SAN DIEGO, CA
01/01/2003 - 01/14/2007
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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.