David Briggs
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 Briggs, who also goes by David Brignoni, 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
February 12, 1991 - January 20, 1998
J. B. HANAUER & CO.
February 4, 1991 - February 21, 1991
PARAGON CAPITAL MARKETS, INC.
October 27, 1989 - March 11, 1991
ADAMS, BLOCK & COE SECURITIES, INC.
July 26, 1984 - October 30, 1989
HALPERT AND COMPANY, 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
J. B. HANAUER & CO.
CRD#: 6958 / SEC#: , 8-18884
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS HOLDINGS (USA) INC. | DIRECT OWNER | |
| BOARDMAN, MATTHEW MILES | DIRECTOR | 843666 |
| MANNA, VIRGINIA ANTONIETTA | CFO | 1128673 |
| PLIFKA, GREG | CHIEF OPERATING OFFICER | 1068803 |
| RINGEL, MARK ELLERY | CHIEF COMPLIANCE OFFICER | 1027629 |
| SCHMIDT, CHRISTOPHER PAUL | CROP/SROP | 1845098 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
| ZUCKER, BARRY HUGH | PRESIDENT & CEO | 500545 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 12 |
| Bond | 1 |
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.
