David B. Lea
Professional summary
David Barker Lea III, who also goes by David Barker Lea III, David Barker III Lea, David Barker Lea, is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Warwick, Rhode Island.
David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Barker Lea III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2025 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 475 Kilvert Street Suite 210, Warwick, RI 02886January 16, 2014 - October 1, 2014
OSAIC SERVICES, INC.
January 1, 2005 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
April 4, 2000 - January 1, 2005
INTERLINK SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/10/2025)
Exams
Series 6TO
Date: 10/2/2025
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
Company Information
BANKERS LIFE SECURITIES, INC.
CRD#: 173962Warwick, RI 02886TRUST BUT VERIFY
Monitor David Lea
Get automatic monthly alerts on:
