David M. Case
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 Michael Case was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2004. David had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2012 - December 31, 2021
HEADWATERS INVESTMENT COUNSEL, LLC
May 8, 2009 - December 1, 2010
HEADWATERS INVESTMENT COUNSEL, LLC
September 3, 2004 - August 28, 2006
LOGIX INVESTMENT MANAGEMENT
State Registrations and Notice Filings
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Current Firm
HEADWATERS INVESTMENT COUNSEL, LLC
CRD#: 107958 / SEC#: 801-38750
Contact information
Red Flags
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