David C. Bradshaw
Professional summary
David Christopher Bradshaw is a registered financial professional currently at SP SECURITIES LLC located in Houston, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 1985. David has worked at 10 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Christopher Bradshaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 18, 2023 - Present
SP SECURITIES LLC
Office #1: 6363 Woodway Dr Suite 1000, Houston, TX 77057November 9, 2021 - August 29, 2023
DORSET PEAK SECURITIES LLC
December 13, 2016 - January 20, 2021
MOELIS & COMPANY LLC
August 28, 2013 - June 16, 2016
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
August 28, 2013 - June 16, 2016
TUDOR PICKERING HOLT & CO ADVISORS LP
January 30, 2006 - August 29, 2013
UBS SECURITIES LLC
November 24, 2003 - December 6, 2005
DEUTSCHE BANK SECURITIES INC.
November 8, 2000 - November 19, 2002
DEUTSCHE BANK SECURITIES INC.
May 1, 1996 - October 19, 2000
PERSHING LLC
April 24, 1989 - May 21, 1996
UBS FINANCIAL SERVICES INC.
November 20, 1985 - June 15, 1988
RAUSCHER PIERCE REFSNES, 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
(8/18/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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