David J. Tempest
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 John Tempest was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2016 - December 31, 2017
TEMPEST WEALTH MANAGEMENT
October 14, 2013 - December 16, 2015
LPL FINANCIAL LLC
October 11, 2013 - December 16, 2015
LPL FINANCIAL LLC
June 1, 2009 - October 23, 2013
MORGAN STANLEY
June 1, 2009 - October 23, 2013
MORGAN STANLEY
June 2, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 2, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 8, 1997 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 1996 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1994 - March 6, 1996
INTERFIRST CAPITAL CORPORATION
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
Current Firm
TEMPEST WEALTH MANAGEMENT
CRD#: 282272 / SEC#:
Contact information
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.
