David A. Budd
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 Alexander Budd was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 5 firms and has passed the 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
February 22, 2010 - March 20, 2012
GRIFFIN FINANCIAL GROUP, LLC
May 8, 2007 - February 4, 2010
HIGHLANDER CAPITAL MANAGEMENT LLC
November 6, 2006 - January 15, 2010
HIGHLANDER CAPITAL GROUP, INC.
February 28, 1992 - November 30, 2006
MCCONNELL, BUDD & ROMANO, INC.
November 24, 1982 - January 20, 1992
KEEFE, BRUYETTE & WOODS, 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
GRIFFIN FINANCIAL GROUP, LLC
CRD#: 119004 / SEC#: , 8-53711
Contact information
FINRA licenses (51 States and Territories)
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.
