David Allen Kauppi
Professional Summary
David Allen Kauppi is a registered financial advisor currently at DUNN SECURITIES, LLC located in Stuart, Florida. David is registered as a RR (Registered Representative) and started their career in finance in 2020. David has worked at 1 firm and has passed the Series 28 exam.
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
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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
6 years in the financial services industry
Current & Past Employments
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Current Firm
DUNN SECURITIES, LLC
Contact Information
Main Address
309 Se Osceola St. Suite 350, Stuart, FL 34994-2240Mailing Address
309 Se Osceola St. Suite 350, Stuart, FL 34994-2240Phone Number
(772) 286-4777Established
Delaware since 03/20/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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
(11/3/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2020About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Allen Kauppi's CRS (Customer Relationship Summary).
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