David W. Orton
Professional summary
David Wallace Orton, CFP® is a registered financial professional currently at PYRAMID FUNDS CORPORATION located in Albany, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Wallace Orton's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1996
Experience
October 8, 1992 - Present
PYRAMID FUNDS CORPORATION
Office #1: 21 Everett Road Ext, Albany, NY 12205Office #2: 21 Everett Road Extension, Albany, NY 12205State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2010)
(3/22/2018)
(7/20/2009)
(11/13/2001)
(10/13/1992)
(6/1/2018)
(5/20/2004)
(3/6/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 2/25/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
PYRAMID FUNDS CORPORATION
CRD#: 3110 / SEC#: , 8-12769
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
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