David L. Hesseltine
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 Lee Hesseltine 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 65, Series 63, SIE, Series 55, Series 3, 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 18, 2017 - July 3, 2023
DHE FINANCIAL SERVICES, INC.
January 11, 2005 - December 31, 2016
INVESTMENT ADVISORS CORP
May 21, 2003 - December 31, 2003
INVESTMENT ADVISORS CORP
May 20, 2003 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
February 14, 2000 - May 13, 2002
SCHONFELD SECURITIES, LLC
March 30, 1999 - September 14, 1999
LOCUST STREET SECURITIES, INC.
May 14, 1998 - August 11, 1998
UBS FINANCIAL SERVICES INC.
February 1, 1996 - February 29, 1996
CITIGROUP GLOBAL MARKETS INC.
September 24, 1982 - November 23, 1982
BOETTCHER & COMPANY, 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
Series 55
Date: 4/22/2002
Limited Representative-Equity Trader ExamCurrent Firm
DHE FINANCIAL SERVICES, INC.
CRD#: 286190 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 1,750,000 |
Red Flags
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