David W. Utter
Professional summary
David William Utter is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David William Utter's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 27, 2018 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 804, New York, NY 10005November 11, 2013 - November 28, 2018
BENCHMARK SECURITIES LLC
January 13, 2012 - October 25, 2013
COHEN & COMPANY SECURITIES, LLC
December 1, 2010 - December 23, 2011
PIPER SANDLER & CO.
May 18, 2010 - December 14, 2010
COHEN & COMPANY SECURITIES, LLC
May 13, 2008 - May 25, 2010
MAXIM GROUP LLC
February 11, 2008 - May 7, 2008
SOURCE CAPITAL GROUP, INC.
January 3, 2008 - February 12, 2008
CAROLINA CAPITAL MARKETS, INC.
April 18, 2005 - December 17, 2007
KEYBANC CAPITAL MARKETS INC.
April 12, 2004 - April 19, 2005
AMHERST SECURITIES GROUP, L.P.
November 22, 1999 - April 2, 2004
BLAYLOCK & COMPANY, INC.
June 24, 1996 - November 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1995 - April 26, 1996
DEUTSCHE BANK SECURITIES INC.
June 21, 1993 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
October 21, 1987 - May 4, 1993
PRUDENTIAL EQUITY GROUP, LLC
November 29, 1984 - January 27, 1986
FORESTERS FINANCIAL SERVICES, 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
(11/27/2018)
(12/17/2018)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
