David J. Healy
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 James Healy, who also goes by David J Healy, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2018 - March 1, 2019
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
October 3, 2012 - June 3, 2013
CLARENDON INSURANCE AGENCY, INC.
March 26, 2009 - September 28, 2018
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 1, 2003 - March 30, 2009
CLARENDON INSURANCE AGENCY, INC.
September 12, 2000 - December 1, 2003
KEYPORT FINANCIAL SERVICES CORP.
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
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
CRD#: 170062 / SEC#: , 8-69407
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
