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DS

David W. Silvester

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CRD#: 4118767
DS

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 Warren Silvester was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2011. David had worked at 1 firm and has passed the Series 24 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 3, 2011 - September 4, 2012

WELLINGTON CAPITAL MARKETS, L.L.C.

BD
CRD#: 104937
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 24
Date: 4/26/2012
General Securities Principal Examination

Current Firm

WC
WELLINGTON CAPITAL MARKETS, L.L.C.
WELLINGTON CAPITAL MARKETS, L.L.C.

CRD#: 104937 / SEC#: , 8-52963

BD
Cancelled by SEC on 05/01/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 10/19/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
REID, EDWARD MICHAELMANAGING MEMBER4118789
SILVESTER, DAVID WARRENMANAGING MEMBER, CHIEF COMPLIANCE OFFICER4118767
YERKOVICH, DEREK ANTHONYMEMBER5451907

Disclosures

Regulatory Event3

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.

Company Information

WELLINGTON CAPITAL MARKETS, L.L.C.

CRD#: 104937

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