David M. Guthrie
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 Merle Guthrie was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1974. David had worked at 3 firms and has passed the Series 63, Series 16 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1985 - April 17, 2012
MORGAN KEEGAN & COMPANY, LLC
December 16, 1976 - March 16, 1977
WISCONSIN INVESTMENT MANAGEMENT CO., INC.
June 18, 1974 - February 20, 1977
THE MILWAUKEE COMPANY
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 1
Date: 6/12/1974
Registered Representative ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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