David J. Singleton
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 Joseph Singleton, who also goes by David J Singleton, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - January 10, 2023
AUXIN GROUP WEALTH MANAGEMENT, LLC
April 25, 2011 - September 20, 2019
MORGAN STANLEY
April 21, 2011 - September 20, 2019
MORGAN STANLEY
October 31, 2005 - April 26, 2011
ROBERT W. BAIRD & CO. INCORPORATED
October 28, 2005 - April 26, 2011
ROBERT W. BAIRD & CO. INCORPORATED
June 27, 2002 - November 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 4, 1990 - November 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 27, 1981 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
September 26, 1978 - May 24, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
AUXIN GROUP WEALTH MANAGEMENT, LLC
CRD#: 226599 / SEC#: 801-118008
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 304,230,018 |
Red Flags
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