David C. Prinn
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 Cosgrove Prinn was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2024 - April 23, 2025
GREAT PACIFIC SECURITIES
December 12, 2018 - March 2, 2022
MARKETAXESS CORPORATION
October 19, 2017 - July 27, 2018
NOMURA SECURITIES INTERNATIONAL, INC.
June 2, 2015 - October 24, 2017
BB&T SECURITIES, LLC
December 5, 2011 - May 19, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 29, 2011 - December 5, 2011
MF GLOBAL INC.
May 1, 2007 - February 4, 2011
RBC CAPITAL MARKETS, LLC
April 27, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 1, 2004 - January 27, 2006
J.P. MORGAN SECURITIES INC.
March 17, 2003 - July 1, 2004
BANC ONE CAPITAL MARKETS, INC.
January 17, 2002 - March 18, 2003
ABN AMRO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GREAT PACIFIC SECURITIES
CRD#: 29251 / SEC#: , 8-44398
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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