Articles Tagged with David Reynolds

David ReynoldsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former California-based Allstate Financial Services broker/adviser David Reynolds has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reynolds (CRD# 4685302).

David Reynolds has spent ten years in the securities industry and was most recently registered with Allstate Financial Services in Modesto, California (2016-2017). Previous registrations include Princor Financial Services Corporation in Modesto, California (2008-2015); Merrill Lynch in Modesto, California (2008); and E*Trade Securities in New York, New York (2003-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 21, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 25, 2008; and Series 7 (General Securities Representative Examination), which he obtained on January 8, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and two customer complaints, and he was recently discharged from his former employer in connection to alleged rule violations.