David S. Greenlee
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 Shannon Greenlee, who also goes by David S Greenlee, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 3, Series 7, Series 5, Series 23 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
May 12, 2016 - January 2, 2019
SPIRE WEALTH MANAGEMENT, LLC
May 3, 2016 - January 2, 2019
SPIRE SECURITIES, LLC
May 16, 2011 - October 3, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 12, 2011 - October 3, 2014
TD AMERITRADE, INC.
May 12, 2011 - October 3, 2014
TD AMERITRADE, INC.
July 3, 2006 - April 25, 2011
CHARLES SCHWAB & CO., INC.
June 30, 2006 - April 25, 2011
CHARLES SCHWAB & CO., INC.
June 10, 2005 - June 21, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 22, 2005 - June 21, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 27, 2004 - March 21, 2005
EQUITABLE ADVISORS, LLC
June 16, 1999 - July 21, 2004
CHARLES SCHWAB & CO., INC.
July 28, 1998 - April 29, 1999
KNIGHT CAPITAL AMERICAS, L.P.
January 1, 1996 - July 17, 1998
UBS CAPITAL MARKETS L.P.
September 17, 1990 - December 31, 1996
CHARLES SCHWAB & CO., INC.
September 9, 1987 - December 31, 1996
CHARLES SCHWAB & CO., INC.
November 4, 1986 - August 17, 1987
UBS FINANCIAL SERVICES INC.
April 23, 1986 - November 14, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
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 15
Date: 5/23/1986
Foreign Currency Options ExaminationSeries 5
Date: 2/21/1986
Interest Rate Options ExaminationSeries 8
Date: 2/25/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,808 |
| AUM (Assets Under Management) | $ 4,617,171,037 |
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.
