David D. Hepworth
Professional summary
David Derek Hepworth 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 1984. Prior to being barred, David had worked at 4 firms, which includes ALEX. BROWN & SONS INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 1991 - April 15, 1991
ALEX. BROWN & SONS INCORPORATED
March 29, 1988 - January 9, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1987 - April 21, 1988
LEHMAN BROTHERS INC.
August 21, 1984 - May 8, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 1/25/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALEX. BROWN & SONS INCORPORATED
CRD#: 20 / SEC#: , 8-31213
Contact information
Documents
Red Flags
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