David M. Ferris
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 Matthew Ferris 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 66 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
May 9, 2014 - June 21, 2022
FERRIS CAPITAL, LLC
October 12, 2012 - March 3, 2014
PURSHE KAPLAN STERLING INVESTMENTS
July 26, 2004 - October 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 2002 - October 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2000 - October 16, 2002
THOMAS WEISEL PARTNERS LLC
September 9, 1997 - March 8, 2000
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FERRIS CAPITAL, LLC
CRD#: 160116 / SEC#: 801-76607
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 615 |
| AUM (Assets Under Management) | $ 755,689,292 |
Red Flags
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