David J. Springer
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 John Springer was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 31 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
December 1, 2022 - April 22, 2024
LOCORR DISTRIBUTORS, LLC
September 5, 2022 - November 30, 2022
SKYPOINT CAPITAL PARTNERS, LLC
May 7, 2014 - August 19, 2022
BARINGS SECURITIES LLC
April 1, 2004 - April 22, 2014
LAZARD ASSET MANAGEMENT SECURITIES LLC
November 12, 2003 - April 1, 2004
LAZARD FRERES & CO. LLC
November 3, 2003 - May 12, 2014
LAZARD ASSET MANAGEMENT LLC
August 1, 2000 - October 6, 2003
ROXBURY CAPITAL MANAGEMENT LLC
State Registrations and Notice Filings
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Exams
Current Firm
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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