David G. Witthoft
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 George Witthoft was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 12 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 1992 - July 14, 1998
JOHN DAWSON & ASSOCIATES, INC.
July 1, 1991 - October 31, 1991
TUCKER ANTHONY INCORPORATED
November 17, 1981 - June 11, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 1979 - December 9, 1981
C. D. ANDERSON & COMPANY, INCORPORATED
February 13, 1979 - June 3, 1979
MORGAN STANLEY DW INC.
May 16, 1978 - January 11, 1979
SHUMAN, AGNEW & CO., INC.
March 19, 1975 - August 25, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 16, 1974 - November 15, 1974
ENI CORPORATION
January 16, 1974 - July 14, 1974
ROBERTS, SCOTT & CO., INC.
April 3, 1973 - February 21, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
January 26, 1971 - January 8, 1973
W. E. HUTTON & CO.
December 23, 1970 - April 22, 1971
GOODBODY & 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
PC
Date: 3/7/1982
AMEX Put and Call ExamSeries 1
Date: 9/6/1961
Registered Representative ExaminationCurrent Firm
JOHN DAWSON & ASSOCIATES, INC.
CRD#: 6347 / SEC#: , 8-17314
Contact information
Documents
Red Flags
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