David W. Poole
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 Wesley Poole, who also goes by David Poole, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 3 firms and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2012 - December 31, 2018
APPLETON HOUSE ADVISORS
April 28, 2009 - December 31, 2019
APPLETON HOUSE ADVISORS
January 16, 2002 - December 3, 2018
OPTIMUM INVESTMENT ADVISORS, LLC
November 2, 1997 - May 13, 2008
APPLETON HOUSE ADVISORS
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 2
Date: 8/29/1995
Non-Member General Securities ExaminationCurrent Firm
APPLETON HOUSE ADVISORS
CRD#: 163807 / SEC#:
Contact information
Red Flags
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