David William Utter
Professional Summary
David William Utter is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
WALL STREET ACCESS | WALL STREET INVESTOR SERVICES | WALL STREET CLEARING COMPANY
Contact Information
Main Address
100 Wall Street, Suite 1501, New York, NY 10005Mailing Address
100 Wall Street, Suite 804, New York, NY 10005Phone Number
(212) 709-9400Established
New York since 02/01/1981Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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
19Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/27/2018)
(12/17/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1984About the Series 6 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David William Utter's CRS (Customer Relationship Summary).
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