David H. Weissman
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 Henry Weissman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3 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
February 1, 2016 - September 22, 2016
ALPS DISTRIBUTORS, INC.
September 25, 2014 - October 27, 2015
ESPOSITO SECURITIES, LLC
January 3, 2013 - December 31, 2013
ESPOSITO SECURITIES, LLC
December 1, 2010 - July 26, 2012
FORESIDE FUND SERVICES, LLC
February 5, 2008 - November 3, 2008
FORESIDE FUND SERVICES, LLC
June 27, 2000 - December 31, 2001
CADARET, GRANT & CO., INC.
August 21, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 21, 1997 - June 15, 2000
EQUITABLE ADVISORS, LLC
February 21, 1997 - June 20, 1997
TFS DERIVATIVES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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