David J. Fahey
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 John Fahey was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2018 - February 3, 2021
RAYMOND JAMES & ASSOCIATES, INC.
March 28, 2018 - February 3, 2021
RAYMOND JAMES & ASSOCIATES, INC.
May 10, 2017 - March 27, 2018
D.A. DAVIDSON & CO.
May 10, 2017 - March 27, 2018
D.A. DAVIDSON & CO.
January 9, 2015 - November 7, 2016
RBC CAPITAL MARKETS, LLC
September 30, 2014 - November 7, 2016
RBC CAPITAL MARKETS, LLC
August 12, 2013 - October 1, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2013 - October 1, 2014
WELLS FARGO CLEARING SERVICES, LLC
November 24, 2010 - August 28, 2013
MORGAN STANLEY
November 24, 2010 - August 28, 2013
MORGAN STANLEY
June 1, 2010 - November 9, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2010 - November 9, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2005 - April 7, 2010
UBS FINANCIAL SERVICES INC.
May 18, 2005 - April 7, 2010
UBS FINANCIAL SERVICES INC.
January 3, 2003 - June 3, 2005
OPPENHEIMER & CO. INC.
January 3, 2003 - June 3, 2005
OPPENHEIMER & CO. INC.
July 8, 1997 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
September 21, 1987 - January 3, 2003
CIBC WORLD MARKETS CORP.
December 21, 1984 - September 30, 1987
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Series 8
Date: 6/27/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
