David S. Mcclary
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 Stanley Wachta Mcclary was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2009 - February 16, 2017
WILLOWBROOK CAPITAL ADVISORS LLC
November 14, 2007 - May 30, 2008
SIMMONS FIRST INVESTMENT GROUP, INC.
October 31, 2002 - November 23, 2005
ELECTRONIC TRADING GROUP, LLC
August 29, 2000 - November 12, 2002
LEHMAN BROTHERS INC.
June 10, 1994 - August 29, 2000
TRUIST SECURITIES, INC.
May 21, 1990 - June 14, 1994
UBS FINANCIAL SERVICES INC.
September 14, 1983 - May 29, 1990
CIBC WORLD MARKETS CORP.
April 29, 1982 - September 7, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 12/4/2002
Limited Representative-Equity Trader ExamCurrent Firm
WILLOWBROOK CAPITAL ADVISORS LLC
CRD#: 151825 / SEC#:
Contact information
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.
