DC
David D. Cupp
ALPINE SECURITIES
Scottsdale, AZ 85253
Some features on this profile are disabled
CRD#: 3193065
DC
Professional summary
David Dewayne Cupp, who also goes by David Cupp, is a registered financial professional currently at ALPINE SECURITIES CORPORATION located in Scottsdale, Arizona.
David is registered as a RR (Registered Representative) and started their career in finance in 2017. David has worked at 2 firms and has passed the Series 66, Series 57TO, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Cupp
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Dewayne Cupp's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 12, 2019 - Present
ALPINE SECURITIES CORPORATION
Office #1: 7170 E. Mcdonald Dr., Suite 6, Scottsdale, AZ 85253BD
CRD#: 14952
Scottsdale, AZ
Past
August 4, 2017 - October 24, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SCOTTSDALE, AZ
Past
June 16, 2017 - October 24, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SCOTTSDALE, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(3/15/2019)
RR
Arizona(3/14/2019)
RR
Arkansas(3/18/2019)
RR
California(3/12/2019)
RR
Delaware(3/19/2019)
RR
District of Columbia(3/13/2019)
RR
Florida(3/13/2019)
RR
Georgia(3/13/2019)
RR
Hawaii(3/28/2019)
RR
Idaho(3/12/2019)
RR
Illinois(5/7/2019)
RR
Indiana(3/15/2019)
RR
Iowa(3/28/2019)
RR
Kansas(3/14/2019)
RR
Kentucky(3/15/2019)
RR
Louisiana(3/18/2019)
RR
Maine(3/13/2019)
RR
Maryland(3/14/2019)
RR
Massachusetts(4/16/2019)
RR
Michigan(3/14/2019)
RR
Minnesota(3/15/2019)
RR
Mississippi(3/19/2019)
RR
Missouri(3/14/2019)
RR
Nebraska(3/15/2019)
RR
Nevada(3/20/2019)
RR
New Jersey(3/15/2019)
RR
New Mexico(3/15/2019)
RR
New York(3/22/2019)
RR
North Carolina(3/18/2019)
RR
Ohio(3/12/2019)
RR
Oklahoma(3/15/2019)
RR
Pennsylvania(3/15/2019)
RR
Puerto Rico(3/21/2019)
RR
Rhode Island(3/21/2019)
RR
South Dakota(8/25/2020)
RR
Tennessee(4/27/2023)
RR
Texas(3/13/2019)
RR
Utah(3/12/2019)
RR
Vermont(3/14/2019)
RR
Virginia(3/14/2019)
RR
Washington(3/14/2019)
RR
West Virginia(3/20/2019)
RR
Wisconsin(3/13/2019)
RR
Wyoming(3/26/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 5/10/2019
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AS
ALPINE SECURITIES CORPORATION
ALPINE SECURITIES CORPORATION
CRD#: 14952 / SEC#: , 8-31464
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
39 Exchange Place, Salt Lake City, UT 84111
Mailing Address
39 Exchange Place, Salt Lake City, UT 84111
Phone number
(801) 320-1334
Established
Utah since 01/11/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 45 |
| Civil Event | 2 |
| 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.
