David B. Springer
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 Brian Springer was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2023 - December 10, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 21, 2023 - December 9, 2024
FIDELITY BROKERAGE SERVICES LLC
May 24, 2022 - December 21, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 24, 2022 - December 21, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 19, 2011 - December 31, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 24, 2009 - January 26, 2011
CROSS POINT CAPITAL LLC
July 20, 2005 - June 6, 2008
NATWEST MARKETS SECURITIES INC.
October 31, 1997 - June 10, 2003
BANC OF AMERICA SECURITIES LLC
August 8, 1989 - April 2, 1997
BNP PARIBAS PRIME BROKERAGE, INC.
September 15, 1987 - July 9, 1993
CRT GOVERNMENT SECURITIES, LTD.
July 18, 1986 - August 8, 1989
CRT 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 7TO
Date: 5/24/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
