David B. Birkett
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 Bion Birkett, who also goes by David Bion Birkett, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 5 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
July 31, 2018 - December 12, 2019
YOUNG AMERICA CAPITAL, LLC
April 11, 2017 - December 31, 2021
BALBOA WEALTH PARTNERS, INC.
March 12, 2002 - March 10, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 2002 - March 10, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2000 - March 14, 2002
J.P. MORGAN SECURITIES INC.
October 10, 1994 - October 23, 1998
ROTH CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
YOUNG AMERICA CAPITAL, LLC
CRD#: 150443 / SEC#: , 8-68260
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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