David C. Lister
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 Christopher Cyrus Lister, who also goes by David Christoper Lister, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 4 firms and has passed the Series 63, SIE, Series 37, 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
October 8, 2012 - February 10, 2015
HAMPTON SECURITIES (USA), INC.
April 2, 2009 - September 17, 2012
OCTAGON AMERICA LIMITED
September 19, 2000 - July 18, 2003
RESEARCH CAPITAL USA INC.
November 30, 1995 - December 31, 1998
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
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 37
Date: 12/15/2008
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
HAMPTON SECURITIES (USA), INC.
CRD#: 46816 / SEC#: , 8-51558
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
