David W. Deighton
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 Wayne Deighton, who also goes by Dave Deighton, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 3 firms and has passed the Series 65, 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
December 15, 2021 - October 3, 2022
PROSPER FINANCIAL PLANNING LLC
April 13, 2011 - December 31, 2012
MAINSTREET WEALTH MANAGEMENT, LLC
December 17, 2003 - July 6, 2004
UBS FINANCIAL SERVICES 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
Current Firm
PROSPER FINANCIAL PLANNING LLC
CRD#: 317967 / SEC#:
Contact information
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.
