David Culpepper
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 Culpepper, who also goes by Herbert David Culpepper, Herbert Culpepper, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 10 firms and has passed the Series 63, Series 15, Series 3, Series 5, Series 1, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 1988 - August 8, 1989
YAMAICHI INTERNATIONAL (AMERICA) INC.
May 2, 1988 - September 12, 1988
FIRST NORTHERN SECURITIES, INC.
May 23, 1986 - September 21, 1987
BOETTCHER & COMPANY, INC.
July 15, 1985 - March 20, 1986
BIRR, WILSON & CO., INC.
May 21, 1985 - July 10, 1985
BIERBAUM-MARTIN SECURITIES INC.
August 3, 1984 - August 9, 1985
UBS FINANCIAL SERVICES INC.
July 21, 1983 - July 5, 1984
CONTISECURITIES, INC.
March 9, 1981 - February 1, 1983
PERSHING LLC
August 5, 1980 - February 13, 1981
BECKER PARIBAS INCORPORATED
November 1, 1973 - October 6, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 15
Date: 10/23/1984
Foreign Currency Options ExaminationSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 10/24/1973
Registered Representative ExaminationSeries 8
Date: 8/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
YAMAICHI INTERNATIONAL (AMERICA) INC.
CRD#: 909 / SEC#: , 8-4877
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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