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DR

David S. Rasch

Some features on this profile are disabled
CRD#: 2516073
DR

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 Scott Rasch was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1998. David had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 26, 2001 - January 23, 2018

STERN BROTHERS & CO.

BD
CRD#: 16325
CHICAGO, IL
Past

October 29, 1998 - January 23, 2001

GATES CAPITAL CORPORATION

BD
CRD#: 29582
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/1998
General Securities Representative Examination

Current Firm

SB
STERN BROTHERS & CO.
BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Mailing Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Phone number
(314) 727-5519
Established
Missouri since 01/25/1985
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDEDTRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012TRUST
CLEMENTS, DONALD SIDNEYCHIEF TECHNOLOGY OFFICER4440518
ESSERT, GLENN EDWARDCHIEF COMPLIANCE OFFICER, AMLCO1447868
FINN, PEGGY PRINCECHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE730640
FINN, TERRENCE MICHAELPRESIDENT, DIRECTOR1102166
MIRIANI, JASON ANDREWCFO, TREASURER4547660
WARREN, KAREN KAYPRINCIPAL OPERATIONS OFFICER1316200

Disclosures

Regulatory Event1

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

STERN BROTHERS & CO.

CRD#: 16325

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