David E. Spray
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 Eugene Spray, who also goes by David Euguene Spray, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 15 firms and has passed the Series 63, Series 7 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
February 24, 1992 - September 1, 1993
SECURITIES AMERICA, INC.
August 22, 1991 - December 24, 1991
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 28, 1989 - May 5, 1989
CONSOLIDATED INVESTMENT SERVICES, INC.
November 24, 1987 - March 16, 1988
HIBBARD BROWN & CO., INC.
October 10, 1987 - November 11, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
June 13, 1986 - June 11, 1987
THE AMERICAN RENAISSANCE SECURITIES CORPORATION
November 18, 1985 - June 13, 1986
ARUNDEL SECURITIES, INC.
October 17, 1985 - November 7, 1985
FIRST CHESAPEAKE SECURITIES CORPORATION
February 25, 1985 - November 1, 1985
LEHMAN BROTHERS INC.
October 4, 1983 - January 31, 1985
PRUDENTIAL EQUITY GROUP, LLC
September 21, 1982 - January 7, 1983
DERAND/PENNINGTON/BASS, INC.
July 3, 1980 - May 8, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
November 7, 1979 - June 21, 1980
J.P. MORGAN SECURITIES LLC
October 31, 1978 - November 12, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 1, 1977 - November 16, 1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 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.
