David Keith Fultz
Professional Summary
David Keith Fultz was a registered financial advisor. David was a previously registered financial professional and started their career in finance 2016 - 2023. David had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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
10 years in the financial services industry
Current & Past Employments
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Current Firm
BATS TRADING, INC. | CBOE TRADING, INC.
Contact Information
Main Address
6800 West 115th Street Suite 260, Overland Park, KS 66211Mailing Address
6800 West 115th Street Suite 260, Overland Park, KS 66211Phone Number
(913) 815-7000Established
Delaware since 06/16/2005Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CBOE SERVICES COMPANY | OWNER | — |
| CHMIELEWSKI, COLE MICHAEL | PRESIDENT | 5740206 |
| GOODMAN, SYDNEY LINDEN | FINOP | 7092589 |
| JOHNSTON, SCOTT LOCHWOOD | DIRECTOR | 6921183 |
| SEXTON, JOHN PATRICK | SECRETARY | 7152089 |
| UPP, WILLIAM BRYAN | CHIEF COMPLIANCE OFFICER | 2976682 |
| WILKINSON, ALLEN LLOYD | VICE PRESIDENT | 7432624 |
| YEAZEL, TROY CHARLES | DIRECTOR | 5492474 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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