David Saponaro
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 Saponaro was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 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
January 4, 2001 - January 2, 2020
LOOMIS SAYLES DISTRIBUTORS, L.P.
January 28, 1995 - November 29, 2000
UBS FINANCIAL SERVICES INC.
March 30, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 6, 1989 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
January 13, 1988 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
September 24, 1986 - January 12, 1988
GOLDMAN SACHS & CO. LLC
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 8
Date: 10/30/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LOOMIS SAYLES DISTRIBUTORS, L.P.
CRD#: 41795 / SEC#: , 8-49575
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOOMIS SAYLES & COMPANY, L.P. | LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER | |
| KLOCEK, JOHN FRANCIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6256015 |
| LEGER, MAURICE PAUL | PRESIDENT | 4575004 |
| LOOMIS SAYLES DISTRIBUTORS, INC. | SOLE GENERAL PARTNER | |
| MCCARTHY, MARY | VP, SECRETARY | |
| O'CONNOR, OLGA A. | VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 7436902 |
Red Flags
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