David A. Spring
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 Andrew Spring was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1961. David had worked at 5 firms and has passed the Series 63, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2005 - February 22, 2008
GUNNALLEN FINANCIAL, INC
July 24, 1991 - July 14, 2005
HIGHLANDER CAPITAL GROUP, INC.
April 6, 1989 - June 21, 1991
RICKEL & ASSOCIATES, INC.
October 16, 1987 - January 10, 1989
GRAYSTONE NASH, INC.
December 26, 1961 - January 14, 1989
OUTWATER & WELLS, 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
Series 1
Date: 12/26/1961
Registered Representative ExaminationF04
Date: 9/20/1976
Financial Principal ExaminationSeries 40
Date: 4/29/1976
Registered Principal ExaminationCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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