David A. Kelman
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 Aaron Kelman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 9 firms and has passed the Series 63, Series 65, Series 79TO, SIE, 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
February 12, 2024 - July 30, 2024
FEARNLEY SECURITIES
October 29, 2019 - December 8, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 11, 2019 - October 31, 2019
BRADLEY WOODS & CO. LTD.
January 25, 2019 - September 24, 2019
PICKWICK CAPITAL PARTNERS, LLC
February 29, 2016 - March 22, 2017
WEALTHSPIRE ADVISORS
July 10, 2015 - November 5, 2015
CONVERGENT WEALTH ADVISORS, LLC
June 6, 2002 - June 30, 2003
BANC OF AMERICA SECURITIES LLC
December 18, 2000 - October 24, 2001
CREDIT SUISSE SECURITIES (USA) LLC
September 7, 1999 - December 18, 2000
PERSHING LLC
September 9, 1998 - September 1, 1999
CREDIT SUISSE SECURITIES (USA) LLC
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: 1/25/2019
Investment Banking Registered Representative ExaminationCurrent Firm
FEARNLEY SECURITIES
CRD#: 174133 / SEC#: , 8-69566
Contact information
FINRA licenses (31 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEARNLEY SECURITIES AS | 100% OWNER | |
| BAKKE, CECILIE HELENE | CHIEF COMPLIANCE OFFICER | 7477246 |
| FINK, JASON PETER | PRINCIPAL, CEO | 2550196 |
| HAHNE, PONTUS TORBJORN | MEMBER OF THE BOARD OF DIRECTORS | 7651222 |
| RASMUSSEN, JOACHIM | MEMBER OF THE BOARD OF DIRECTORS | 7498636 |
| ROETHER, CLAUDIUS | INVESTMENT BANKING PRINCIPAL | 7629018 |
| SHAW, ANTHONY | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 7338445 |
| VABO, RIKARD | MEMBER OF THE BOARD OF DIRECTORS | 7253168 |
| WESSEL, PETER | CHAIRMAN OF THE BOARD OF DIRECTORS | 6495105 |
Red Flags
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