David B. Hudson
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 Brian Hudson, who also goes by David Hudson, 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 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2020 - November 15, 2024
OPPENHEIMER & CO. INC.
January 28, 2020 - November 15, 2024
OPPENHEIMER & CO. INC.
April 25, 2007 - January 22, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2007 - January 22, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 8, 2006 - April 5, 2007
CITIGROUP GLOBAL MARKETS INC.
November 8, 2006 - April 5, 2007
CITIGROUP GLOBAL MARKETS INC.
January 17, 2006 - October 23, 2006
OSAIC SERVICES, INC.
January 10, 2003 - January 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 11, 2001 - November 12, 2001
PIPER SANDLER & CO.
November 10, 1999 - May 15, 2001
CIBC WORLD MARKETS CORP.
July 13, 1999 - November 3, 1999
UBS FINANCIAL SERVICES INC.
October 16, 1995 - July 28, 1999
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - August 22, 1995
CITIGROUP GLOBAL MARKETS INC.
March 2, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/27/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
