David L. Seay
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 Leslie Seay was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2023 - September 10, 2025
COMMERCE BROKERAGE SERVICES, INC.
May 2, 2022 - July 11, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 29, 2019 - May 3, 2022
VINING-SPARKS IBG, LLC
December 9, 2016 - July 9, 2019
CREWS & ASSOCIATES, INC.
December 10, 2014 - November 7, 2016
SIMMONS FIRST INVESTMENT GROUP, INC.
January 7, 2005 - December 2, 2014
SIMMONS FIRST INVESTMENT GROUP, INC.
April 9, 1991 - July 8, 1991
R.M. DUNCAN SECURITIES, INC.
July 11, 1987 - October 2, 1987
FIRST INVESTMENT SECURITIES, INC.
July 20, 1984 - September 9, 1985
BRITTENUM & ASSOCIATES, INC.
May 6, 1982 - April 18, 1984
UNITED CAPITAL CORPORATION
March 23, 1981 - April 23, 1982
BRITTENUM & ASSOCIATES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
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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