DAVID JAMES FOSTER

DAVID JAMES FOSTER is currently employed as a Broker and/or Investment Adviser at PROEQUITIES, INC. located at 445 DEXTER AVENUE, SUITE 4050, MONTGOMERY, AL, 36104.

DAVID JAMES FOSTER has worked at PROEQUITIES, INC. since October 12, 2016

Disclosure History

DAVID JAMES FOSTER has 3 Disclosure Event(s).

Date: April 01, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: April 01, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: April 01, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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