David R. Sicotte
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 Ross Sicotte was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 24 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
April 29, 2013 - December 31, 2014
HEALTHEQUITY ADVISORS
January 8, 2007 - May 5, 2011
ZIONS CAPITAL ADVISORS, INC.
October 10, 2006 - December 31, 2006
ZIONS DIRECT, INC.
October 10, 2006 - May 5, 2011
ZIONS DIRECT, INC.
May 6, 2005 - October 23, 2006
MML INVESTORS SERVICES, LLC
January 25, 2003 - October 23, 2006
MML INVESTORS SERVICES, LLC
February 10, 1999 - October 25, 2002
FIDELITY BROKERAGE SERVICES LLC
January 7, 1997 - February 10, 1999
NATIONAL FINANCIAL SERVICES LLC
January 16, 1996 - December 31, 1996
FIDELITY BROKERAGE SERVICES LLC
March 15, 1994 - January 16, 1996
FIDELITY DISTRIBUTORS CORPORATION
Primary Firm SEC Registration
HEALTHEQUITY ADVISORS
CRD#: 167105 / SEC#: 801-78001
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 8
Date: 2/19/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HEALTHEQUITY ADVISORS
CRD#: 167105 / SEC#: 801-78001
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 133,156 |
| AUM (Assets Under Management) | $ 1,508,567,990 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 09/28/2023 | ||
| 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.
