David M. Seymour
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 Milton Seymour was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2012 - September 6, 2012
PHILLIPS & COMPANY
June 17, 2011 - September 6, 2012
PHILLIPS & COMPANY
June 6, 2007 - December 1, 2010
EMPOWER FINANCIAL SERVICES, INC.
May 16, 2005 - May 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 2005 - May 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 21, 2005 - May 11, 2005
CETERA WEALTH SERVICES, LLC
August 18, 2000 - May 11, 2005
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PHILLIPS & COMPANY
CRD#: 35800 / SEC#: , 8-46896
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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