David P. Simek
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 Paul Simek was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 10 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2018 - October 19, 2021
NEXPOINT SECURITIES, INC.
December 16, 2014 - July 11, 2016
RAYMOND JAMES & ASSOCIATES, INC.
April 15, 2013 - December 9, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 23, 2012 - April 15, 2013
VIRTU AMERICAS LLC
February 22, 2012 - July 23, 2012
COHEN & COMPANY SECURITIES, LLC
September 16, 2010 - February 17, 2012
COHEN & COMPANY CAPITAL MARKETS, LLC
April 13, 2009 - October 4, 2010
COHEN & COMPANY SECURITIES, LLC
August 2, 2002 - July 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2001 - May 17, 2002
UBS SECURITIES LLC
October 7, 1988 - February 14, 2001
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/26/2024
Investment Banking Registered Representative ExaminationCurrent Firm
NEXPOINT SECURITIES, INC.
CRD#: 165013 / SEC#: , 8-69128
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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