David J. Fullerton
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 John Fullerton, who also goes by Dave Fullerton, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 52, Series 9, Series 10, Series 4, Series 8, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2013 - November 14, 2023
BAYRIDGE SECURITIES, LLC
March 12, 2012 - November 14, 2023
BTIG, LLC
August 12, 2005 - June 21, 2011
CITIZENS JMP SECURITIES, LLC
October 21, 2002 - July 29, 2004
PIPER SANDLER & CO.
May 4, 1999 - September 17, 2002
ROBERTSON STEPHENS, INC.
October 1, 1998 - February 22, 1999
BANC OF AMERICA SECURITIES LLC
October 1, 1993 - October 1, 1998
BANCAMERICA SECURITIES, INC.
July 21, 1993 - October 1, 1993
BA INVESTMENT 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 9/23/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BAYRIDGE SECURITIES, LLC
CRD#: 155765 / SEC#: , 8-68739
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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