David J. Billingsley
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 James Billingsley, who also goes by David James Billingsley, David Billingsley, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2018 - April 2, 2020
CUNA BROKERAGE SERVICES, INC.
October 12, 2018 - April 2, 2020
CUNA BROKERAGE SERVICES, INC.
April 5, 2018 - September 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2018 - September 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 27, 2015 - March 28, 2017
CAPITAL ONE ADVISORS, LLC
March 11, 2015 - March 28, 2017
CAPITAL ONE INVESTING, LLC
October 2, 2007 - September 3, 2013
VOYA FINANCIAL ADVISORS, INC.
April 12, 2006 - October 4, 2007
TRUIST INVESTMENT SERVICES, INC.
April 12, 2006 - October 4, 2007
TRUIST INVESTMENT SERVICES, INC.
November 19, 2004 - April 3, 2006
BI INVESTMENTS, LLC
January 5, 2004 - April 3, 2006
BI INVESTMENTS, LLC
October 2, 2002 - December 31, 2003
BNY MELLON SECURITIES LLC
May 13, 2002 - October 11, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
October 1, 2001 - May 1, 2002
BNY MELLON SECURITIES LLC
June 14, 2000 - October 1, 2001
NATHAN & LEWIS SECURITIES, INC.
February 16, 1999 - June 14, 2000
GUARANTY BROKERAGE SERVICES, INC.
February 2, 1998 - April 17, 1998
BB&T INVESTMENT SERVICES, INC.
February 7, 1997 - November 9, 1998
GUARANTY BROKERAGE SERVICES, INC.
September 6, 1995 - February 25, 1997
WOODBURY FINANCIAL SERVICES, INC.
February 8, 1993 - September 8, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 8, 1993 - September 8, 1995
OSAIC FA, INC.
July 2, 1990 - December 31, 1993
WOODBURY FINANCIAL SERVICES, 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: 1/22/2024
General Securities Representative ExaminationCurrent Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
