David A. Sitzer

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CRD#: 1060089

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 Alan Sitzer, who also goes by David A Sitzer, David Sitzer, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1982. David had worked at 12 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David A Sitzer | David Sitzer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 6, 2004 - February 16, 2005

SOUTHWEST TEXAS CAPITAL, L.L.C

CRD#: 104200

PLANO, TX

Past

January 2, 2002 - October 28, 2002

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 30, 2001 - January 2, 2002

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

January 2, 2001 - July 5, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

September 28, 1999 - January 2, 2001

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

June 5, 1997 - October 1, 1999

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

November 16, 1994 - June 13, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 11, 1991 - November 28, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 17, 1988 - August 26, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

March 2, 1988 - August 26, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 29, 1988 - March 8, 1988

OPPENHEIMER & CO. INC.

CRD#: 249

Past

August 14, 1985 - January 29, 1988

KUHNS BROTHERS & LAIDLAW, INC.

CRD#: 1481

Past

February 12, 1985 - June 26, 1985

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

June 26, 1984 - January 22, 1985

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

January 19, 1983 - June 8, 1984

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

October 6, 1982 - July 7, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SOUTHWEST TEXAS CAPITAL, L.L.C

CRD#: 104200 / SEC#: , 8-52670

Terminated by SEC on 10/06/2009

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Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 05/18/2000

Firm type

Limited Liability Company

Fiscal year end

June

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SOUTHWEST TEXAS CAPITAL, INC.	OWNER
GALLAMORE, CHARLES LEE	PRESIDENT & CEO + SEC. + CCO	2443271
HILL, JERRY MOORE	FIN OP	3357
QUICK, DAVID JAMES	MANAGING PARTNER- PRINCIPAL	2236190
TSALIS, MARIA LEA	PRINCIPAL-BRANCH MANAGER	1946496

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

David A. Sitzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

PRIME CHARTER LTD.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS SECURITIES, INC.

LAIDLAW GLOBAL SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

OPPENHEIMER & CO. INC.

KUHNS BROTHERS & LAIDLAW, INC.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/21/1983

Series 7

Date: 1/15/1983

Series 6

Date: 10/5/1982

Current Firm

SOUTHWEST TEXAS CAPITAL, L.L.C

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHWEST TEXAS CAPITAL, L.L.C

TRUST BUT VERIFY

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