David Vickrey
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 Vickrey was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 4 firms and has passed the Series 63, SIE, Series 62, Series 79 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
September 28, 2016 - May 5, 2024
BA SECURITIES, LLC
July 15, 2013 - September 20, 2016
M&A SECURITIES GROUP, INC.
March 14, 1995 - November 26, 1996
DEUTSCHE BANK SECURITIES INC.
July 7, 1994 - March 8, 1995
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 9/30/2013
Corporate Securities Limited Representative ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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