David A. Halliday
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 Andrew Halliday was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 4 firms and has passed the Series 63 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
October 14, 1991 - April 28, 1999
STONE & YOUNGBERG LLC
September 4, 1990 - October 4, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 19, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 23, 1984 - November 23, 1985
BIRR, WILSON & CO., 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
STONE & YOUNGBERG LLC
CRD#: 795 / SEC#: 801-69883, 8-3149
Contact information
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
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.
