David T. Hunter
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 Thompson Hunter III, who also goes by David Thompson Hunter, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2011 - April 25, 2014
INVEST FINANCIAL CORPORATION
February 2, 2011 - April 25, 2014
INVEST FINANCIAL CORPORATION
July 6, 2004 - November 30, 2010
CUNA BROKERAGE SERVICES, INC.
June 29, 2004 - November 30, 2010
CUNA BROKERAGE SERVICES, INC.
May 7, 2003 - August 7, 2003
CITIZENS SECURITIES, INC.
May 8, 2002 - August 7, 2003
CITIZENS SECURITIES, INC.
April 14, 1999 - December 31, 2000
MBSC, LLC
March 30, 1999 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
April 16, 1998 - March 31, 1999
CETERA FINANCIAL SPECIALISTS LLC
August 16, 1994 - May 12, 1995
WELLS FARGO SECURITIES INC.
May 23, 1994 - August 4, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 23, 1994 - August 4, 1994
EQUITABLE ADVISORS, LLC
February 25, 1987 - January 13, 1993
CHARLES SCHWAB & CO., INC.
February 21, 1982 - February 2, 1987
A. G. EDWARDS & SONS, INC.
November 26, 1980 - March 15, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
November 26, 1980 - March 15, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
November 26, 1980 - March 15, 1982
IDS LIFE INSURANCE COMPANY
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 8
Date: 5/4/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
