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Current Employers
Moors & Cabot, Inc.

One Federal Street 19Th Floor, Boston, MA 02110 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-06-03
  • TX RA
    APPROVED
    Since 2019-06-03

Branch Locations

645 East Missouri Avenue Suite 170, Phoenix, AZ 85012 • United States

One Federal Street 19Th Floor, Boston, MA 02110 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Na Tucson AZ 04/2010 06/2019
J.P. Morgan Securities Llc Phoenix AZ 10/2012 06/2019
Self Employed Phoenix AZ 07/2014 07/2018
Moors & Cabot Inc Phoenix AZ 06/2019 Present
Previous Registrations
  • 2012-10-01 → 2019-06-17
    Phoenix, AZ
    Scottsdale, AZ
    Scottsdale, AZ
    Scottsdale, AZ
    Scottsdale, AZ
  • 2010-05-11 → 2012-10-01
    Chase Investment Services Corp.
    Phoenix, AZ
    Tucson, AZ
  • 2009-11-11 → 2010-03-22
    Waddell & Reed
    Tucson, AZ
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: CONTENT VENDOR / FREELANCE WRITER START DATE: 7/21/2014 ADDRESS: 839 Phoenix, Arizona DETAILS: THE FREELANCE PRODUCING OF CONTENT FOR PRINT AND ELECTRONIC PUBLICATION, AS WELL AS DIRECT TO CONSUMER SALES. THIS CONTENT INCLUDES TEXT BASED MULTIMEDIA INCLUDING INCLUDING FICTION, NON-FICTION, JOURNALISTIC REPORTING AND/OR POETRY; VISUAL CONTENT INCLUDING BOTH DIGITAL AND FILM IMAGES, ANIMATIONS, ILLUSTRATIONS, GRAPHIC DESIGN AND INTERACTIVE CONTENT; AUDIO PRODUCTIONS INCLUDING SPOKEN WORD, VOCAL OR MUSICAL RECORDINGS AND INCLUDING JOURNALISTIC AUDIO INCLUDING PODCASTS OR REPORTING; VIDEO SUPPORT OR PRODUCTION GENERALLY DESIGNED TO ACCOMPANY SOME OTHER TYPE OF PREVIOUSLY MENTIONED CONTENT (INCLUDING PHOTOGRAPHY OR JOURNALISM). MAy include providing commentary and anlysis on matters related to financial planning though original articles and/or publications or printed/digital advertisements. HOURS DEDICATED (5 hours per week total, 1 hour during normal firm hours): HOURS DURING TRADING: 0 INVESTMENT RELATED: Yes ACTIVITY TYPE: 2 - OUTSIDE BUSINESS ACTIVITY www.advicebydavid.com / 839 E. Desert Park Lane, Phoenix, Arizona 85020 Sole proprietorship, Website www.advicebydavid.com is a marketing website owned by David Robbins as a sole proprietor. It is operated by David Robbins and Moors & Cabot, Inc. Advicebydavid.com is used exclusively to offer the products and services of Moors & Cabot, Inc. ACTIVITY TYPE 3: FINRA Dispute Resolution-Industry Arbitrator as of 2023, volunteer, less than 1 hour per week as applicable, honorarium paid if selected on case. ACTIVITY TYPE 4: Co-Owner of business through family trust; Paper Street Ventures, LLC; Provides B2B referrals for admin services, 0 hours during trading hours, receives compensation

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-01
  • S66 Uniform Combined State Law Examination
    2009-10-01
Designations
Other Names
  • David Robbins
  • David Abraham Seely Robbins
  • David Abraham Seely Robbins

View on SEC IAPD

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