David Clarence Hess
Professional Summary
David Clarence Hess is a registered financial advisor currently at FIRST ANALYSIS SECURITIES CORPORATION located in Chicago, Illinois. David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST ANALYSIS | FIRST ANALYSIS SECURITIES CORPORATION
Contact Information
Main Address
One South Wacker Drive Suite 3900, Chicago, IL 60606Mailing Address
One South Wacker Drive Suite 3900, Chicago, IL 60606Phone Number
(312) 258-1400Established
Illinois since 01/27/1982Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (30 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | — |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/3/2023)
(1/30/2023)
(2/4/1994)
(1/3/2023)
(3/13/2023)
(1/24/2023)
(4/26/2023)
(1/27/2023)
(12/19/2022)
(7/5/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Clarence Hess's CRS (Customer Relationship Summary).
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