David D. Metz
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 Douglas Metz was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 3 firms and has passed the Series 63, Series 79TO, SIE 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
January 26, 2004 - December 31, 2023
HEROLD & LANTERN INVESTMENTS, INC.
October 26, 2001 - January 29, 2004
MILLER JOHNSON STEICHEN KINNARD, INC.
November 16, 2000 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
August 13, 1997 - October 22, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
September 24, 1982 - August 13, 1997
JOHN G. KINNARD AND COMPANY, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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