David C. Kasperson
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 Christian Kasperson, who also goes by David C Kasperson, David Kasperson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 12 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 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
December 6, 2019 - November 17, 2021
STONEX SECURITIES INC.
August 16, 2018 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
July 7, 2014 - September 8, 2016
LPL FINANCIAL LLC
October 23, 2013 - June 23, 2014
J.P. MORGAN SECURITIES LLC
July 30, 2009 - March 1, 2013
MUTUAL OF AMERICA SECURITIES LLC
July 30, 2009 - March 1, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
December 11, 2007 - February 4, 2009
VOYA FINANCIAL PARTNERS, LLC
October 2, 2006 - November 26, 2007
EMPOWER FINANCIAL SERVICES, INC.
October 13, 2003 - October 3, 2006
METROPOLITAN LIFE INSURANCE COMPANY
October 13, 2003 - October 3, 2006
MSI FINANCIAL SERVICES, INC.
March 18, 1999 - May 5, 1999
DELAWARE DISTRIBUTORS, L.P.
November 24, 1993 - December 15, 1998
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
Series 6TO
Date: 3/4/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
