David D. Kay
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 Darrell Kay, who also goes by David Darrell Kay, David Kay, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2023 - April 17, 2024
ADP BROKER-DEALER, INC.
March 10, 2020 - October 25, 2023
ASCENSUS BROKER DEALER SERVICES, LLC
October 19, 2018 - July 29, 2019
ASCENSUS BROKER DEALER SERVICES, LLC
December 7, 2017 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
March 30, 2017 - December 5, 2017
EQUITABLE DISTRIBUTORS, LLC
March 29, 2016 - March 17, 2017
EQUITABLE ADVISORS, LLC
March 29, 2016 - March 17, 2017
EQUITABLE ADVISORS, LLC
March 15, 2013 - March 30, 2016
FIRST ALLIED ADVISORY SERVICES, INC.
March 12, 2013 - March 29, 2016
FIRST ALLIED SECURITIES, INC.
December 22, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2008 - September 26, 2011
MUTUAL OF AMERICA SECURITIES LLC
February 11, 2008 - September 26, 2011
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
May 23, 2006 - February 4, 2008
MML INVESTORS SERVICES, LLC
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
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
