David S. Darling
Professional summary
David Sidney Darling was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, David had worked at 5 firms, which includes EQUITY PROGRAMS CORPORATION, GROSVENOR FINANCIAL INC., LPL FINANCIAL LLC, KIDDER PEABODY & CO. INCORPORATED, PIPER SANDLER & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 1993 - December 1, 1997
EQUITY PROGRAMS CORPORATION
January 5, 1987 - March 12, 1991
GROSVENOR FINANCIAL, INC.
August 12, 1985 - January 10, 1987
LPL FINANCIAL LLC
August 8, 1984 - August 14, 1985
KIDDER, PEABODY & CO. INCORPORATED
April 21, 1983 - August 3, 1984
PIPER SANDLER & CO.
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
EQUITY PROGRAMS CORPORATION
CRD#: 6100 / SEC#: , 8-16771
Contact information
Documents
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.
