David A. Townsend
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 Alan Townsend, CFA, who also goes by David Townsend, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, 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
May 11, 2023 - September 30, 2024
HALO SECURITIES, LLC
February 4, 2019 - August 25, 2021
DWS DISTRIBUTORS, INC.
October 14, 2014 - March 26, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 14, 2014 - March 26, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 9, 2013 - October 13, 2014
WILLIAM BLAIR
August 5, 2013 - October 13, 2014
WILLIAM BLAIR
January 25, 2007 - June 18, 2007
FIRST CITIZENS CAPITAL SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/4/2019
General Securities Representative ExaminationCurrent Firm
HALO SECURITIES, LLC
CRD#: 279029 / SEC#: , 8-69655
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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