David L. Ullom
Professional summary
David Lee Ullom was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1970. Prior to being barred, David had worked at 9 firms, which includes OHANESIAN / LECOURS INC., RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, BARCLAY INVESTMENTS LLC, BURGESS & LEITH INCORPORATED, F. L. PUTNAM & COMPANY INC., KIDDER PEABODY & CO. INCORPORATED, DEAN WITTER & CO. INCORPORATED, BACHE & CO INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2003 - September 23, 2003
OHANESIAN / LECOURS, INC.
June 10, 1999 - November 18, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - November 18, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 7, 1992 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 14, 1984 - June 9, 1992
BARCLAY INVESTMENTS LLC
January 13, 1982 - February 9, 1984
BURGESS & LEITH INCORPORATED
November 21, 1980 - February 10, 1982
F. L. PUTNAM & COMPANY, INC.
September 30, 1974 - June 9, 1992
BARCLAY INVESTMENTS LLC
January 19, 1972 - October 16, 1974
KIDDER, PEABODY & CO., INCORPORATED
September 23, 1971 - January 27, 1972
DEAN WITTER & CO. INCORPORATED
May 1, 1970 - October 9, 1971
BACHE & CO INCORPORATED
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: 4/27/1970
Registered Representative ExaminationF04
Date: 3/22/1975
Financial Principal ExaminationSeries 00
Date: 3/22/1975
General Securities Principal ExaminationCurrent Firm
OHANESIAN / LECOURS, INC.
CRD#: 23757 / SEC#: 801-57016, 8-40729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECOURS, RONALD GERARD | VICE PRESIDENT, SECRETARY | 1109578 |
| OHANESIAN, RICHARD | PRESIDENT, TREASURER | 844545 |
| BACKES, CLIFFORD BURTON | SHAREHOLDER | 1295299 |
| HART, SANDRA LEE | VICE PRESIDENT | 1412984 |
| JARVIS, CLIFFORD WILLIAM JR | SHAREHOLDER | 1177496 |
| RIZZIO, KENNETH ANTHONY | SHAREHOLDER | 1173625 |
| NICHOLSON, WILLIAM JOHN | CHIEF COMPLIANCE OFFICER, REGISTERED OPTIONS PRINCIPAL, FINANCIAL OPERATIONS PRINCIPAL | 2632348 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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