David W. Gearhart
Professional summary
David William Gearhart, who also goes by David Gearhart, is a registered financial professional currently at FIRST ANALYSIS SECURITIES CORPORATION located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 2003. David has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David William Gearhart's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2011 - Present
FIRST ANALYSIS SECURITIES CORPORATION
Office #1: One South Wacker Drive Suite 3900, Chicago, IL 60606May 29, 2003 - April 15, 2004
CARIS & COMPANY, 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
(1/20/2023)
(1/3/2023)
(1/3/2023)
(9/9/2011)
(7/1/2024)
(3/3/2023)
(1/3/2023)
(1/3/2023)
(1/3/2023)
(1/3/2023)
(1/27/2023)
(1/27/2023)
Exams
Series 79TO
Date: 7/30/2020
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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