David L. Zimmerman
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 Lee Zimmerman JR was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3, Series 7, Series 10, Series 9, Series 24 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
October 29, 2021 - December 20, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 28, 2021 - December 20, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 25, 2016 - November 20, 2019
FIRST CITIZENS INVESTOR SERVICES, INC.
January 25, 2016 - November 20, 2019
FIRST CITIZENS INVESTOR SERVICES, INC.
January 3, 2011 - January 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 11, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 26, 2002 - March 28, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1998 - January 24, 2002
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 24, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
June 17, 1993 - April 25, 1997
UBS FINANCIAL SERVICES INC.
February 15, 1988 - June 22, 1993
LEHMAN BROTHERS INC.
May 13, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 24, 1985 - May 27, 1986
JOHNSON & JOUNET SECURITIES
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 5
Date: 3/28/1995
Interest Rate Options ExaminationSeries 8
Date: 7/30/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
