David J. Palozzola
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 Joseph Palozzola, who also goes by David Joseph Palozzala, David Joseph Palozzoza, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - August 19, 2020
HANCOCK WHITNEY INVESTMENT SERVICES INC.
February 10, 2012 - August 19, 2020
HANCOCK WHITNEY INVESTMENT SERVICES INC.
May 9, 2008 - February 13, 2012
CETERA INVESTMENT SERVICES LLC
February 26, 2008 - February 13, 2012
CETERA INVESTMENT SERVICES LLC
February 9, 2000 - February 26, 2008
WHITNEY SECURITIES, L.L.C.
August 3, 1998 - June 14, 1999
BANC ONE SECURITIES CORPORATION
March 12, 1990 - August 19, 1998
MARQUIS INVESTMENTS, L.L.C.
October 21, 1988 - March 13, 1989
ALL-TECH DIRECT, INC.
March 4, 1988 - October 25, 1988
BRENNAN ROSS SECURITIES, INC.
August 21, 1986 - March 11, 1988
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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
Current Firm
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
