David A. Spratt
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 Anthony Spratt was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 10 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 7TO, SIE, Series 55, 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
September 22, 2020 - December 31, 2022
ALTERNATIVE EXECUTION GROUP
June 28, 2012 - September 12, 2018
ALEXANDER CAPITAL, L.P.
June 14, 2011 - June 28, 2012
J.H. DARBIE & CO., INC.
January 27, 2010 - June 6, 2011
BRILL SECURITIES, INC.
October 3, 2008 - September 14, 2009
RANGE GLOBAL LLC
May 1, 2006 - March 6, 2007
J.P. TURNER & COMPANY, L.L.C.
December 2, 2004 - April 5, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
September 10, 2002 - December 1, 2004
VANDHAM SECURITIES CORP.
June 24, 1998 - September 4, 2002
KNIGHT CAPITAL AMERICAS, L.P.
July 23, 1996 - November 7, 1996
CITIGROUP GLOBAL MARKETS INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 10/15/1998
Limited Representative-Equity Trader ExamCurrent Firm
ALTERNATIVE EXECUTION GROUP
CRD#: 167830 / SEC#: , 8-69279
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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