David C. Hess
Professional summary
David Clarence Hess is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Clarence Hess's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 4, 1994 - Present
FIRST ANALYSIS SECURITIES CORPORATION
Office #1: One South Wacker Drive Suite 3900, Chicago, IL 60606July 22, 1992 - July 28, 1992
FINANCIAL SQUARE PARTNERS
November 18, 1991 - July 21, 1992
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/17/2023)
(1/3/2023)
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(1/30/2023)
(12/19/2022)
(3/29/2023)
(2/2/2023)
(2/4/1994)
(3/21/2023)
(3/3/2023)
(5/12/2000)
(1/3/2023)
(3/13/2023)
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(1/24/2023)
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(1/3/2023)
(4/26/2023)
(1/3/2023)
(1/27/2023)
(12/19/2022)
(7/5/2023)
Exams
FINRA
Current Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 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 | 3 |
Red Flags
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