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DB

David J. Bolton

Some features on this profile are disabled
CRD#: 5038018
DB

Professional summary

David Jonathan Bolton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, David had worked at 7 firms, which includes THURSTON SPRINGER MILLER HERD & TITAK INC., SIGNATOR INVESTORS INC., EDWARD JONES, NATIONAL PLANNING CORPORATION, MORGAN STANLEY DW INC., RAYMOND JAMES FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 13, 2014 - February 10, 2016

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA
CRD#: 8478
Bowling Green, KY
Past

November 10, 2014 - February 10, 2016

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

BD
CRD#: 8478
Bowling Green, KY
Past

July 2, 2013 - November 20, 2014

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
BOWLING GREEN, KY
Past

January 6, 2012 - November 20, 2014

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOWLING GREEN, KY
Past

November 6, 2008 - January 9, 2012

EDWARD JONES

BD
CRD#: 250
BOWLING GREEN, KY
Past

October 20, 2008 - January 9, 2012

EDWARD JONES

RIA
CRD#: 250
BOWLING GREEN, KY
Past

March 21, 2007 - October 26, 2007

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
LOUISVILLE, KY
Past

December 14, 2006 - October 26, 2007

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOUISVILLE, KY
Past

July 11, 2006 - December 18, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PURCHASE, NY
Past

May 2, 2006 - December 18, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 18, 2006 - May 9, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
BOWLING GREEN, KY
Past

January 11, 2006 - February 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/22/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/10/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/7/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2006
General Securities Representative Examination

Current Firm

TS
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | TRILOGY WEALTH MANAGEMENT | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. INSURANCE AGENCY | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | THURSTON, SPRINGER, MILLER & HERD, INC. | THURSTON, SHUMAKER, MILLER & BURKE, INCORPORATED | THURSTON, MILLER & BURKE, INC. | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | SPRAWLS FINANCIAL | SPENCER FINANCIAL STRATEGIES | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | LIBERTY CONSULTING | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | DAMER WEALTH MANAGEMENT | CRAVENS, LLC | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BAYLEY INVESTMENT GROUP | BALDASSARI ADVISORY | AMERICAN PENSION ADVISORS

CRD#: 8478 / SEC#: 801-63564, 8-25452

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142
Phone number
(317) 581-4000
Established
Indiana since 09/12/1980
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FINANCIAL SERVICES HOLDINGS, LLCSOLE SHAREHOLDER
COKER, KAREN LE'ELLENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PARKER, RICHARD WILSONCEO5497397
REYNOLDS, MATTHEW MARKPRESIDENT / FINOP / PFO / POO/CCO4077413
RUDNICK, REGINA MARYHEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381
TITAK, JAMES JOHNCHAIRMAN OF THE BOARD1008441

Disclosures

Regulatory Event3

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.

Company Information

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

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