David C. Nightingale

DRUM HILL CAPITAL

WESTPORT, CT 06880-5430

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CRD#: 1031072

Professional summary

David Cleaves Nightingale is a registered financial advisor currently at DRUM HILL CAPITAL, LLC located in Westport, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. David has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Cleaves Nightingale's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 20, 1998 - Present

DRUM HILL CAPITAL, LLC

Office #1: 1221 Post Road East Suite 205, Westport, CT 06880-5430

RIA

CRD#: 123359

WESTPORT, CT

Past

November 9, 1988 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

November 9, 1988 - March 16, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

May 14, 1988 - March 16, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 8, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

February 25, 1982 - July 7, 1983

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DRUM HILL CAPITAL, LLC

DRUM HILL CAPITAL | DRUM HILL CAPITAL, LLC

CRD#: 123359 / SEC#: 801-66446

RIA

Registered Investment Advisory firm - (3/27/2006 Approved)

Connecticut

Registered Investment Advisory firm - (3/28/2006 Terminated)

New York

Registered Investment Advisory firm - (3/28/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(8/20/1998)

IAR

Texas
(1/4/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/11/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/20/1982

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 10/15/1981

Interest Rate Options Examination

Current Firm

DRUM HILL CAPITAL, LLC

DRUM HILL CAPITAL | DRUM HILL CAPITAL, LLC

CRD#: 123359 / SEC#: 801-66446

RIA

Registered Investment Advisory firm - (3/27/2006 Approved)

Connecticut

Registered Investment Advisory firm - (3/28/2006 Terminated)

New York

Registered Investment Advisory firm - (3/28/2006 Terminated)

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Contact information

Main Address

1221 Post Road East Suite 205, Westport, CT 06880-5430

Mailing Address

Phone number

(203) 349-8182

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DRUM HILL CAPITAL, LLC - PART 2A OF FORM ADV (3/17/2025)

Regulatory assets under management

Total Number of Accounts	212
AUM (Assets Under Management)	$ 170,385,237

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/07/2025	Cover Page	Report
09/11/2024	Cover Page	Report
10/24/2023	Cover Page	Report
08/19/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David C. Nightingale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Cleaves Nightingale's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

DRUM HILL CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/2002

Series 63

Date: 4/26/1985

Series 3

Date: 10/11/1982

Series 7

Date: 2/20/1982

Series 5

Date: 10/15/1981

Current Firm

DRUM HILL CAPITAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DRUM HILL CAPITAL, LLC

TRUST BUT VERIFY

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