David N. Kwon
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 Namyoung Kwon, who also goes by David N Kwon, David Kwon, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 10 firms and has passed the Series 63, SIE, Series 86, Series 87 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, 2013 - July 25, 2017
TRUIST SECURITIES, INC.
March 5, 2013 - April 24, 2013
CLSA AMERICAS, LLC
July 7, 2010 - April 24, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
October 8, 2009 - February 3, 2010
WEDBUSH SECURITIES INC.
September 10, 2008 - March 3, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
April 18, 2007 - July 10, 2008
WELLS FARGO SECURITIES, LLC
September 14, 2005 - February 21, 2007
BANC OF AMERICA SECURITIES LLC
January 6, 2005 - June 29, 2005
NATIXIS SECURITIES AMERICAS LLC
February 9, 2004 - December 15, 2004
BURNHAM SECURITIES INC.
December 7, 1999 - May 15, 2002
CREDIT SUISSE SECURITIES (USA) LLC
April 26, 1999 - December 17, 1999
CITIGROUP GLOBAL MARKETS INC.
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
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 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.
