David R. Striplin
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 Randall Striplin, who also goes by Dave Striplin, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1982. David had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2001 - October 30, 2008
GUNNALLEN FINANCIAL, INC
January 30, 2001 - October 30, 2008
GUNNALLEN FINANCIAL, INC
January 19, 2001 - January 25, 2001
AFS EQUITIES, INC.
February 6, 1998 - July 29, 1999
D.E. FREY & COMPANY, INC.
May 13, 1996 - October 29, 1997
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
April 30, 1992 - March 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
November 1, 1988 - April 24, 1992
UBS FINANCIAL SERVICES INC.
August 17, 1982 - November 3, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 1982 - September 7, 1982
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
