DK
David J. Kiwaiko
FHN FINANCIAL SECURITIES
Chicago, IL 60661
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CRD#: 1652601
DK
Professional summary
David J Kiwaiko is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David J Kiwaiko's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 10, 2001 - Present
FHN FINANCIAL SECURITIES CORP.
Office #1: 500 West Madison Ave Ste 1705, Chicago, IL 60661BD
CRD#: 46346
Chicago, IL
Past
November 11, 1994 - June 17, 1997
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
March 9, 1994 - November 28, 1994
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
September 24, 1987 - January 23, 1988
KEMPER FINANCIAL SERVICES, INC.
BD
CRD#: 798
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/12/2016)
RR
California(7/22/2022)
RR
Colorado(8/8/2016)
RR
Illinois(1/10/2001)
RR
Indiana(1/12/2001)
RR
Iowa(2/3/2015)
RR
Kansas(8/15/2016)
RR
Kentucky(8/3/2022)
RR
Maryland(4/3/2018)
RR
Michigan(1/11/2001)
RR
Minnesota(1/12/2001)
RR
Missouri(1/12/2001)
RR
Montana(8/8/2016)
RR
Nevada(1/22/2001)
RR
New Mexico(8/8/2016)
RR
North Dakota(9/7/2021)
RR
Ohio(1/11/2001)
RR
Oregon(2/12/2018)
RR
South Dakota(12/6/2022)
RR
Texas(1/10/2001)
RR
Virginia(2/12/2018)
RR
Washington(1/10/2001)
RR
Wisconsin(5/11/2006)
RR
Wyoming(2/12/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/23/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FHN FINANCIAL SECURITIES CORP.
FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Mailing Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Phone number
(901) 435-8080
Established
Tennessee since 10/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
