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DN

Davison W. Nutt

MOODY SECURITIES
Houston, TX 77024
Some features on this profile are disabled
CRD#: 5640723
DN

Professional summary

Davison William Nutt, who also goes by David Nutt, is a registered financial professional currently at MOODY SECURITIES, LLC located in Houston, Texas.

Davison is registered as a RR (Registered Representative) and started their career in finance in 2009. Davison has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Nutt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Davison William Nutt's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 25, 2009 - Present

MOODY SECURITIES, LLC

Office #1: 9655 Katy Freeway Suite 600, Houston, TX 77024
BD
CRD#: 148771
Houston, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/5/2013)
RR
Colorado
(11/5/2013)
RR
Connecticut
(11/5/2013)
RR
Idaho
(11/5/2013)
RR
Maine
(11/5/2013)
RR
Massachusetts
(11/5/2013)
RR
Nevada
(11/5/2013)
RR
New Hampshire
(11/5/2013)
RR
New Jersey
(11/5/2013)
RR
New Mexico
(11/5/2013)
RR
New York
(11/5/2013)
RR
Oregon
(11/5/2013)
RR
Pennsylvania
(11/5/2013)
RR
Rhode Island
(11/5/2013)
RR
Texas
(4/13/2009)
RR
Utah
(11/5/2013)
RR
Vermont
(11/5/2013)
RR
Washington
(11/5/2013)
RR
Wyoming
(11/5/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 4/9/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MOODY SECURITIES, LLC
MOODY SECURITIES, LLC

CRD#: 148771 / SEC#: , 8-68069

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
9655 Katy Freeway Suite 600, Houston, TX 77024
Mailing Address
9655 Katy Freeway Suite 600, Houston, TX 77024
Phone number
(713) 977-7500
Established
Delaware since 09/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MOODY NATIONAL SM, LLCSOLE MEMBER
ENGEL, ROBERT WILLIAMFINOP/CFO/PRINCIPAL/TREASURER4804666
MCGINNIS, STEFANIE SADKAPRESIDENT/CCO5462592

Disclosures

Regulatory Event1

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.

Company Information

MOODY SECURITIES, LLC

CRD#: 148771Houston, TX 77024

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