David A. Wilkes
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 Wilkes, who also goes by David Alan Wilkes, David Wilkes, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2011. David had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2022 - January 4, 2023
UBS ASSET MANAGEMENT (US) INC.
May 17, 2018 - January 20, 2022
UBS SECURITIES LLC
August 30, 2011 - December 10, 2013
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 4/1/2022
General Securities Representative ExaminationCurrent Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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