David H. Sugimoto
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 Hideo Sugimoto was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2004. David had worked at 6 firms and has passed the Series 63, Series 65 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, 2012 - December 31, 2013
OLD MUTUAL INVESTMENT PARTNERS
June 8, 2010 - October 5, 2010
INVESCO ADVISERS, INC.
June 1, 2010 - October 5, 2010
INVESCO DISTRIBUTORS, INC.
October 22, 2007 - June 1, 2010
MORGAN STANLEY DISTRIBUTION, INC.
November 21, 2005 - November 8, 2010
MORGAN STANLEY INVESTMENT ADVISORS INC.
September 22, 2004 - December 31, 2005
1838 INVESTMENT ADVISORS,LP
State Registrations and Notice Filings
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Exams
Current Firm
OLD MUTUAL INVESTMENT PARTNERS
CRD#: 44916 / SEC#: , 8-50875
Contact information
Documents
Red Flags
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