David A. Bell
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 Austin Bell, who also goes by Buddy Bell, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 11 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2016 - February 28, 2021
WHITAKER SECURITIES LLC
July 23, 2015 - December 21, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
September 2, 2014 - June 16, 2015
SEIDEL & CO., LLC
January 16, 2014 - August 18, 2014
THE VERTICAL GROUP
June 11, 2013 - January 22, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
December 5, 2008 - May 7, 2013
STANDARD CREDIT SECURITIES INC.
August 1, 2000 - December 9, 2008
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
March 8, 1993 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 16, 1991 - August 4, 1992
FUNDAMENTAL BROKERS
May 10, 1989 - March 27, 1991
TULLETT LIBERTY BROKERAGE INC.
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 7TO
Date: 3/23/2024
General Securities Representative ExaminationCurrent Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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