David B. Kalt
Professional summary
David Bryan Kalt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, David had worked at 5 firms, which includes A. G. EDWARDS & SONS INC., UNITED BROKERAGE SERVICES INC, MORGAN STANLEY DW INC., FIRST UNION CAPITAL MARKETS CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2000 - July 31, 2001
A. G. EDWARDS & SONS, INC.
September 1, 1999 - May 2, 2000
UNITED BROKERAGE SERVICES, INC
December 8, 1997 - September 27, 1999
MORGAN STANLEY DW INC.
August 24, 1993 - December 1, 1997
FIRST UNION CAPITAL MARKETS CORP.
May 5, 1992 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
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