David A. Hillman
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 Hillman, who also goes by Dave Hillman, Alan P Thompson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1975. David had worked at 13 firms and has passed the Series 55, Series 1 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
April 4, 2006 - April 16, 2007
SEABOARD SECURITIES, INC.
January 11, 2006 - March 31, 2006
DINOSAUR FINANCIAL GROUP, L.L.C
September 27, 2002 - May 24, 2004
WHITAKER SECURITIES LLC
April 22, 2001 - September 23, 2002
BURLINGTON CAPITAL MARKETS INC.
July 17, 2000 - January 18, 2001
FIRST EQUITY CORPORATION OF FLORIDA
January 7, 1998 - June 15, 2000
SOUTHPORT SECURITIES, LLC
June 21, 1996 - June 18, 1997
DOLEY SECURITIES, LLC.
February 2, 1994 - May 3, 1996
SEABOARD SECURITIES, INC.
December 7, 1992 - January 11, 1994
SOUTHEAST REGIONAL SECURITIES, INC.
February 3, 1989 - April 22, 1993
CHAPDELAINE CORPORATE SECURITIES & CO
August 4, 1988 - December 23, 1988
SOUNDVIEW CAPITAL LIMITED PARTNERSHIP
June 17, 1982 - August 26, 1983
RUSSELL & CO
November 5, 1980 - March 4, 1982
KMS CORPORATE BROKERS, INC.
April 3, 1975 - January 17, 1977
E. J. QUINN & CO., 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 55
Date: 6/21/2006
Limited Representative-Equity Trader ExamSeries 1
Date: 3/31/1975
Registered Representative ExaminationCurrent Firm
SEABOARD SECURITIES, INC.
CRD#: 755 / SEC#: , 8-44373
Contact information
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 8 |
| Bond | 1 |
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.
