David B. Platt
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 Brent Platt, who also goes by David B Platt, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 7 firms and has passed the Series 63 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
September 4, 2012 - January 3, 2013
ZELMAN PARTNERS, LLC
November 25, 2009 - January 24, 2012
FOCUS CAPITAL GROUP, INC.
July 3, 2007 - October 13, 2009
DEUTSCHE BANK SECURITIES INC.
July 26, 2004 - July 3, 2007
BANC OF AMERICA SECURITIES LLC
May 10, 2001 - August 2, 2004
CITIGROUP GLOBAL MARKETS INC.
December 18, 2000 - May 11, 2001
CREDIT SUISSE SECURITIES (USA) LLC
October 21, 1998 - December 18, 2000
PERSHING LLC
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
ZELMAN PARTNERS, LLC
CRD#: 145187 / SEC#: , 8-67713
Contact information
FINRA licenses (26 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WDIB, LLC | MANAGING MEMBER | |
| ERWIN, STEPHEN TODD | CCO/AMLCO | 5028461 |
| GROMAN, DANIEL JASON | BOARD MEMBER | 7974401 |
| MCGILL, ANTHONY JACOB | MANAGING DIRECTOR, ADVISORY & CAPITAL MARKETS (DESIGNATED PRINCIPLE) | 4379700 |
| TABASSO, THEODORE PAUL | CHIEF OPERATIONS OFFICER, DIRECTOR OF SALES | 1875019 |
| THEOBALD, STEPHEN PATRICK | BOARD MEMBER | |
| WANK, STEPHEN H | CFO/FIN-OP | 5062089 |
| ZELMAN, IVY LYNNE | DIRECTOR OF RESEARCH | 2288665 |
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.
