David S. Jolley
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 Styles Jolley MR., who also goes by David Styles Jolley Mr., was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2024 - November 7, 2025
BA SECURITIES, LLC
March 5, 2018 - November 6, 2024
ALLEN C. EWING & CO.
May 19, 2015 - December 14, 2016
LPL FINANCIAL LLC
October 11, 2011 - September 20, 2013
LPL FINANCIAL LLC
April 28, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
December 12, 2008 - January 13, 2009
CETERA INVESTMENT SERVICES LLC
December 1, 2003 - January 3, 2007
ALLEN C. EWING & CO.
October 25, 2001 - July 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 1, 1999 - April 29, 2002
WACHOVIA SECURITIES, INC.
March 17, 1999 - April 1, 1999
WACHOVIA CAPITAL 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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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