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Davison William Nutt

MOODY SECURITIES
HOUSTON, TX
·CRD# 5640723·17 years experience

Professional Summary

Davison William Nutt, who also goes by David Nutt, is a registered financial advisor 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.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David Nutt

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

MOODY SECURITIES, LLC·CRD# 148771
BD
9655 Katy Freeway Suite 600, Houston, TX 77024
March 25, 2009 - Present

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Current Firm

MS
MOODY SECURITIES, LLC

MOODY SECURITIES, LLC

CRD#: 148771 / SEC#: 8-68069
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

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

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2009About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2009About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

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

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