David R. Faribault
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Raymond Faribault was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2001 - December 31, 2016
DAVID R. FARIBAULT - REGISTERED INVESTMENT ADVISOR
April 28, 1997 - January 2, 2001
ACUMENT SECURITIES, INC.
March 30, 1989 - April 28, 1997
A. G. EDWARDS & SONS, INC.
June 7, 1983 - April 6, 1989
UBS FINANCIAL SERVICES INC.
December 11, 1981 - June 3, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 1/11/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DAVID R. FARIBAULT - REGISTERED INVESTMENT ADVISOR
CRD#: 116856 / SEC#:
Contact information
Red Flags
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