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David Lloyd Kahn

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Information

Firm:
Type: Dual Registration
Description

David Kahn is a financial professional at SagePoint Financial, Inc., a broker-dealer with over 2,000 registered representatives nationwide. David has held an industry securities registration for 9 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
SagePoint Financial, Inc. 5 years, 9 months Jan 2009 - Present
Aig Financial Advisors, Inc. 2 years, 10 months Mar 2006 - Jan 2009
AXA Advisors, LLC 1 year, 5 months Sep 2004 - Feb 2006
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 10/20/2004

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

David Lloyd Kahn has not answered any questions on Financial Q&A.

Top Guides

David Lloyd Kahn has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/07/2014
09/21/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions