David M. Bitterman
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 Mark Bitterman 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 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2014 - November 7, 2019
HURON TRANSACTION ADVISORY LLC
September 6, 2006 - November 13, 2008
DEUTSCHE BANK SECURITIES INC.
March 28, 2000 - July 5, 2006
DEUTSCHE BANK SECURITIES INC.
January 15, 1996 - March 22, 2000
J.P. MORGAN SECURITIES LLC
October 18, 1994 - January 26, 1996
UBS SECURITIES LLC
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
HURON TRANSACTION ADVISORY LLC
CRD#: 166959 / SEC#: , 8-69237
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
