David C. Blythe
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 C Blythe, who also goes by David Christopher Blythe, Chris Blythe, Chris Carpenter, David Christopher Carpenter, David C Carpenter Blythe, David Christopher Carpenter Blythe, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2021 - August 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 2021 - August 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 2019 - May 14, 2021
WADDELL & REED
July 29, 2019 - May 14, 2021
WADDELL & REED
September 4, 2015 - February 28, 2018
THE HUNTINGTON INVESTMENT COMPANY
September 4, 2015 - February 28, 2018
THE HUNTINGTON INVESTMENT COMPANY
August 1, 2013 - July 21, 2015
LPL FINANCIAL LLC
August 1, 2013 - July 21, 2015
LPL FINANCIAL LLC
December 5, 2011 - August 2, 2013
FIFTH THIRD SECURITIES, INC.
December 11, 2002 - August 2, 2013
FIFTH THIRD SECURITIES, INC.
May 14, 1999 - November 21, 2002
KEYBANC CAPITAL MARKETS INC.
April 28, 1997 - May 14, 1999
KEY INVESTMENTS INC.
July 26, 1996 - January 22, 1997
CHARLES SCHWAB & CO., INC.
July 9, 1993 - August 2, 1996
FIDELITY BROKERAGE SERVICES LLC
September 21, 1992 - April 5, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 21, 1992 - April 5, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 6/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
