David N. Pringle
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 Noble Pringle was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 16, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2009 - February 24, 2019
FELLS POINT RESEARCH LLC
August 4, 2006 - September 25, 2006
HOWE BARNES HOEFER & ARNETT, INC.
August 17, 2005 - August 4, 2006
HOEFER & ARNETT, INCORPORATED
August 1, 2002 - January 12, 2004
FULCRUM GLOBAL PARTNERS LLC
July 12, 1999 - July 30, 2002
LYSTER WATSON SECURITIES, INC.
June 3, 1999 - June 25, 1999
LYSTER WATSON SECURITIES, INC.
August 7, 1997 - June 3, 1999
FIRST MANHATTAN SECURITIES LLC
September 15, 1992 - May 6, 1996
LAZARD FRERES & CO. LLC
January 29, 1992 - August 25, 1992
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 11/24/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FELLS POINT RESEARCH LLC
CRD#: 148090 / SEC#: , 8-67961
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINGLE, DAVID NOBLE | MANAGING MEMBER/CEO/CCO/CFO/FINOP/AMLCO | 1610097 |
Red Flags
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