David M. Hendricks
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 Monroe Hendricks SR, who also goes by David Monroe Hendricks, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 1 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
May 4, 2004 - January 4, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
July 23, 1999 - January 4, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
January 1, 1998 - November 18, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
November 14, 1988 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 16, 1987 - November 16, 1988
FIRST TRYON SECURITIES, INC.
January 31, 1980 - April 27, 1987
UBS FINANCIAL SERVICES INC.
March 26, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 8, 1972 - November 19, 1983
WACHOVIA SECURITIES, INC.
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: 11/27/1972
Registered Representative ExaminationSeries 8
Date: 9/2/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
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.
