David R. Aherne
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 Riehm Aherne was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 4 firms and has passed the Series 63 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
June 7, 2010 - June 12, 2013
SEAPORT GLOBAL SECURITIES LLC
June 23, 2009 - May 25, 2010
BEDROK SECURITIES LLC
July 21, 2004 - July 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 1999 - July 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1997 - May 4, 1999
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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