David B. Fultz
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 B Fultz Jr, who also goes by David B Fultz Jr, David B Fultz Jr., David B Fultz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2008. David had worked at 4 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 17, 2018 - December 31, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 17, 2018 - December 31, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 13, 2016 - October 22, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - October 22, 2018
SIGNATOR INVESTORS, INC.
June 11, 2015 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 29, 2015 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 3, 2008 - November 26, 2013
STONEX SECURITIES 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
