Jeffrey D. Weaver
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.
Jeffrey D Weaver, who also goes by Jeffrey David Weaver, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 14 firms and has passed the Series 63, 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
January 19, 2021 - June 8, 2021
WALL STREET ACCESS
January 22, 2019 - November 2, 2020
LPS CAPITAL LLC
October 13, 2015 - November 21, 2017
MAREX CAPITAL MARKETS INC.
May 16, 2013 - September 16, 2015
PIPER SANDLER & CO.
July 6, 2012 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
April 30, 2012 - June 12, 2012
COHEN & COMPANY SECURITIES, LLC
June 1, 2011 - May 2, 2012
ALLY SECURITIES LLC
March 17, 2009 - May 27, 2011
ROBERT W. BAIRD & CO. INCORPORATED
March 8, 2004 - December 10, 2008
NATWEST MARKETS SECURITIES INC.
January 29, 2002 - March 1, 2004
ALLY SECURITIES LLC
October 12, 2000 - June 25, 2001
TRUMARKETS, LLC
July 16, 1996 - December 7, 1998
DEUTSCHE BANK SECURITIES INC.
April 28, 1995 - January 30, 1996
INTERCAPITAL GOVERNMENT SECURITIES INC.
April 28, 1995 - January 30, 1996
EXCO RMJ INTERNATIONAL INC.
November 25, 1987 - January 11, 1995
UBS FINANCIAL SERVICES INC.
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
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
