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David L. Ciapponi

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CRD#: 1741434
DC

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 Louis Ciapponi was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1988. David had worked at 3 firms and has passed the Series 7 and Series 53 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 9, 1990 - November 21, 2012

PRAGER & CO., LLC

BD
CRD#: 21567
SAN FRANCISCO, CA
Past

April 29, 1989 - February 20, 1990

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 20, 1988 - April 4, 1989

GLICKENHAUS & CO.

BD
CRD#: 2016
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/20/2003
Municipal Securities Principal Examination

Current Firm

P&
PRAGER & CO., LLC
PRAGER & CO. | PRAGER, SEALY & CO., LLC | PRAGER, MCCARTHY & SEALY, LLC | PRAGER, MCCARTHY & SEALY | PRAGER, MCCARTHY & LEWIS | PRAGER & COMPANY, LLC | PRAGER & CO., LLC

CRD#: 21567 / SEC#: , 8-39048

BD
Terminated by SEC on 02/18/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRAGER MANAGEMENT CO., LLCMANAGING MEMBER
DAVIDENKO, CHARITYCCO4203342
HETZ, EDWIN DAVIDMANAGING DIRECTOR & CEO1191057
PRAGER, FREDRIC JOELMANAGING DIRECTOR1018994
THURMAN, RHETT DAVIDMANAGING DIRECTOR/CFO/COO4484341

Disclosures

Regulatory Event7

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.

Company Information

PRAGER & CO., LLC

CRD#: 21567

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