David L. Hill
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 Lewis Hill, who also goes by David Lewis Hill, David Hill, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 9 firms and has passed the Series 63, Series 65, Series 6TO, 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 24, 2021 - April 14, 2023
VANGUARD MARKETING CORPORATION
May 15, 2007 - July 17, 2009
WADDELL & REED
May 15, 2007 - July 17, 2009
IVY DISTRIBUTORS, INC.
June 30, 2006 - February 15, 2007
DWS DISTRIBUTORS, INC.
December 5, 2002 - December 31, 2004
STRONG CAPITAL MANAGEMENT INC
April 25, 2000 - December 31, 2004
STRONG INVESTMENTS, INC.
January 22, 1998 - March 31, 2000
TRANSAMERICA INVESTORS SECURITIES, LLC
August 16, 1996 - October 31, 1997
LYNCH, JONES & RYAN LLC
October 4, 1995 - July 2, 1996
SEI INVESTMENTS DISTRIBUTION CO.
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 6TO
Date: 7/24/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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