David A. Semple
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 Anthony Semple was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2006 - December 31, 2024
FIRST ASSET FINANCIAL INC.
January 3, 2000 - July 27, 2006
IRON STREET SECURITIES INC.
January 21, 1998 - January 3, 2000
AMERICAN HEARTLAND INVESTMENTS INC.
June 10, 1993 - December 31, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 13, 1991 - May 26, 1993
LEWIS & CLARK SECURITIES, INC.
November 7, 1989 - July 31, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 7, 1989 - July 31, 1990
SIGNATOR INVESTORS, INC.
July 21, 1988 - June 22, 1989
1717 CAPITAL MANAGEMENT COMPANY
April 26, 1988 - June 17, 1988
WASHINGTON NATIONAL EQUITY COMPANY
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
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 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.
