David Whittemore
Professional summary
David Whittemore, who also goes by David Simpson Whittemore, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 2002. David has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Whittemore's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901November 17, 2021 - February 21, 2023
REALTA EQUITIES, INC.
September 21, 2021 - November 19, 2021
THE LEADERS GROUP, INC.
June 11, 2019 - September 18, 2019
DMK ADVISOR GROUP, INC.
May 10, 2012 - June 13, 2017
AXIOM CAPITAL MANAGEMENT, INC.
February 1, 2011 - July 15, 2011
DEUTSCHE BANK SECURITIES INC.
February 1, 2011 - July 15, 2011
DEUTSCHE BANK SECURITIES INC.
May 7, 2009 - February 2, 2011
SUPERFUND USA, LLC
January 10, 2005 - March 26, 2009
STANFORD GROUP COMPANY
September 27, 2004 - March 26, 2009
STANFORD GROUP COMPANY
November 12, 2002 - December 13, 2002
INVESTMENT PLACEMENT GROUP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2024)
(2/15/2024)
(2/2/2024)
(2/15/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
