David E. Weatherbee
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 Emil Weatherbee, who also goes by Emil Weatherbee, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2005. David had worked at 6 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
March 23, 2016 - August 1, 2016
SII INVESTMENTS, INC.
March 22, 2016 - August 1, 2016
SII INVESTMENTS, INC.
January 15, 2014 - December 31, 2015
PURSHE KAPLAN STERLING INVESTMENTS
January 2, 2014 - December 28, 2015
GLOBAL VIEW CAPITAL MANAGEMENT LLC
January 25, 2013 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
November 29, 2012 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
February 10, 2012 - December 5, 2012
LPL FINANCIAL LLC
August 30, 2005 - January 6, 2012
EDWARD JONES
July 20, 2005 - January 6, 2012
EDWARD JONES
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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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