DP
David A. Perry
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CRD#: 7320685
DP
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 A Perry was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2021. David had worked at 1 firm and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
PROTECTIVE LIFE INSURANCE COMPANY; Investment Related; 2801 Highway 280 South, Birmingham, AL 35223; Insurance and Financial Services; SVP and CEO CFG; Start Date 08/2020; 167 hours per month with most hours per month occurring during trading hours; Building an integrated support model between three distribution companies. >> JEFFERSON COUNTY GREENWAYS COMMISSION; Non-Investment Related; Birmingham, AL; Board Member-Treasurer; Start Date 06/2022; Hours vary from 1 - 10 hours per month with some of those hours occurring during trading hours; I participate in decision-making regarding where and how to invest funds which involves making decisions about banking relationships for money-market-like checking/savings accounts and/or money market or money-market-like investments. >> INDUSTRIAL DEVELOPMENT BOARD OF BIRMINGHAM; Non-Investment Related; Birmingham, AL; Board Member - Chairman; Start Date 2017; Hours vary from 1 - 10 hours per month with some of those hours occurring during trading hours; I participate in decision-making regarding where and how to invest funds which involves making decisions about banking relationships for money-market-like checking/savings accounts and/or money market or money-market-like investments. >> ALABAMA APPLESEED; Non-Investment Related; 2 Office Park Cir Suite 10, Birmingham, AL 35223; Board Member-Development Director; Start Date 2017; Hours vary from 1 - 10 hours per month with some of those hours occurring during trading hours; I participate in decision-making regarding where and how to invest funds which involves making decisions about banking relationships for money-market-like checking/savings accounts and/or money market or money-market-like investments. >> PRESBYTERIAN HOME FOR CHILDREN; Non-Investment Related; 905 Gertrude Michaels Dr, Talladega, AL 35160; Board Member - Finance Committee Vice Chair; Start Date 01/2022; Hours vary from 1 - 10 hours per month with some of those hours occurring during trading hours; The organization has an institutional investment advisor that it relies on for portfolio recommendations and the members of the finance committee either accept, reject, or modify the advisor's recommendations. >> ALABAMA TRAILS FOUNDATION; Non-Investment Related; Birmingham, AL; Board Member-Chairman; Start Date 09/2019; Hours vary from 1 - 10 hours per month with some of those hours occurring during trading hours; I participate in decision-making regarding where and how to invest funds which involves making decisions about banking relationships for money-market-like checking/savings accounts and/or money market or money-market-like investments.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 22, 2021 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
January 8, 2021 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Birmingham, AL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/8/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CONCOURSE FINANCIAL GROUP ADVISORS | PROTECTIVE EQUITY SERVICES, INC. | PROEQUITIES, INC. | PROEQUITIES INC | INVESTMENT ADVISORS | CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
BD
Terminated by SEC on 08/24/2025
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Contact information
Main Address
2801 Highway 280 South, Birmingham, AL 35223
Mailing Address
P.o. Box 518, Birmingham, AL 35201-0518
Phone number
(800) 288-3035
Established
Alabama since 07/11/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
885
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
