David R. Whitehouse
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 Robert Whitehouse, who also goes by David R Whitehouse, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
October 1, 2024 - May 5, 2026
ICAPITAL MARKETS LLC
October 19, 2022 - September 26, 2024
IFM (US) SECURITIES, LLC
August 22, 2011 - December 19, 2011
APOLLO GLOBAL SECURITIES, LLC
June 4, 2003 - November 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 1996 - December 20, 2002
MORGAN STANLEY & CO. LLC
October 18, 1993 - March 21, 1996
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/19/2022
General Securities Representative ExaminationCurrent Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
