David S. Hauptman
Professional summary
David Steven Hauptman is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Portland, Oregon and HUB INTERNATIONAL INVESTMENT SERVICES INC. located in Austin, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Steven Hauptman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2001 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 1125 N.w. Couch Street Suite 900, Portland, OR 97209September 28, 2022 - Present
HUB INTERNATIONAL INVESTMENT SERVICES INC.
Office #1: 900 S Capital Of Tx Highway Suite 350, Austin, TX 78746January 7, 2000 - January 19, 2001
MUTUAL SERVICE CORPORATION
June 18, 1996 - December 31, 1999
MUTUAL SERVICE CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2004)
(4/12/2002)
(8/1/2006)
(4/30/2001)
(1/25/2019)
(11/8/2004)
(1/29/2018)
(9/16/2016)
(1/19/2001)
(12/10/2025)
(11/6/2001)
(4/7/2010)
(5/23/2005)
(2/8/2012)
(1/9/2026)
Exams
FINRA
Current Firm
HUB INTERNATIONAL INVESTMENT SERVICES INC.
CRD#: 150252 / SEC#: , 8-68237
Contact information
FINRA licenses (2 States and Territories)
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.
