David M. Toepel
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 Martin Toepel Jr., who also goes by David Martin Toepel Jr, David Toepel, David Martin Toepel, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 5 firms and has passed the Series 63, 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 18, 2025 - July 24, 2025
BTIG, LLC
June 23, 2017 - October 16, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 23, 2017 - October 16, 2024
KEEFE, BRUYETTE & WOODS, INC.
July 10, 2003 - June 12, 2017
B. RILEY SECURITIES, INC.
March 27, 1997 - November 15, 2002
PIPER SANDLER & 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
