David M. Ashe
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 Ashe was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 3 firms and has passed the Series 66, 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
October 30, 2009 - December 31, 2014
WESTPORT CAPITAL MARKETS, LLC
October 30, 2009 - December 31, 2014
WESTPORT CAPITAL MARKETS, LLC
November 9, 2007 - November 3, 2009
EDWARD JONES
October 29, 2007 - November 3, 2009
EDWARD JONES
March 15, 2007 - October 25, 2007
DAVID LERNER ASSOCIATES, INC.
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
WESTPORT CAPITAL MARKETS, LLC
CRD#: 41562 / SEC#: 801-53842, 8-49495
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCLURE, CHRISTOPHER EDWARD | PRESIDENT & CEO, CFO, CHIEF COMPLIANCE OFFICER, PFO, POO | 2289844 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
