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David A. Crosby

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CRD#: 1345841
DC

Professional summary

David Alexander Crosby was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, David had worked at 2 firms, which includes WALNUT STREET SECURITIES INC., INTERPACIFIC INVESTORS SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 21, 1999 - December 21, 1999

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

March 8, 1991 - December 18, 1998

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

March 20, 1985 - March 16, 1991

INTERPACIFIC INVESTORS SERVICES, INC.

BD
CRD#: 4879
SEATTLE, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/28/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/28/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1985
General Securities Representative Examination

Current Firm

WS
WALNUT STREET SECURITIES, INC.
WALNUT STREET SECURITIES, INC.

CRD#: 15840 / SEC#: 801-62161, 8-32772

BD
Terminated by SEC on 11/05/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Missouri since 05/04/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FUND MANAGEMENT SERVICES PROGRAM DISCLOSURE BROCHURE (3/22/2013)
ADVISOR SELECT PROGRAM WRAP FEE BROCHURE (3/22/2013)
FUND SELECT/FUND SELECT PREMIER PROGRAMS DISCLOSURE BROCHURE (3/22/2013)
WSS THIRD PARTY INSTITUTIONAL ADVISORY PROGRAM (3/22/2013)
MANAGER SELECT WRAP FEE BROCHURE (3/22/2013)
DISCLOSURE BROCHURE FOR THIRD PARTY PROGRAMS (3/22/2013)
MANAGER SELECT PREMIER WRAP FEE BROCHURE (3/22/2013)

Direct owners and executive officers

NamePositionCRD#
METLIFE, INC.DIRECT OWNER
AQUINO, VIRGELAN ERNESTOCHIEF COMPLIANCE OFFICER, BROKER DEALER2976229
CARRIER, ANDRE THEODORECHIEF OPERATIONS OFFICER2257728
COHN, MARC ALLANCHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER2464524
DWYER, JAMESVICE PRESIDENT, LICENSING AND REGISTRATION
FORGET, ELIZABETH MARYDIRECTOR2767945
HALPERIN, JEFFREY PAULANTI-MONEY LAUNDERING OFFICER2899327
LACEK, MICHAEL JCHIEF LEGAL OFFICER
MARKHAM, CRAIG WILLIAMPRESIDENT AND DIRECTOR1383638
MARTINEZ, JOHN GREGORYVICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL2210722
TORRES, ISAACSECRETARY

Disclosures

Regulatory Event9
Arbitration3

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.

Company Information

WALNUT STREET SECURITIES, INC.

CRD#: 15840

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