David G. Hilpp
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 Goddard Hilpp was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 7 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
November 8, 2011 - January 26, 2012
NATIONAL SECURITIES CORPORATION
October 18, 2010 - December 20, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 14, 2009 - October 6, 2010
LPL FINANCIAL LLC
January 1, 2008 - December 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 12, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 13, 2005 - October 4, 2005
LASALLE FINANCIAL SERVICES, INC.
December 18, 2002 - June 14, 2005
WADDELL & REED
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
