David H. Whiting
Professional summary
David H. Whiting was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 2012. Prior to being barred, David had worked at 3 firms, which includes ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES LLC, AVANTAX INVESTMENT SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2016 - May 10, 2018
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
April 7, 2015 - September 20, 2016
AVANTAX INVESTMENT SERVICES, INC.
April 16, 2012 - January 21, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD#: 135131 / SEC#: , 8-66889
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
