David W. Littler
Professional summary
David West Littler is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Arvada, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 1977. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David West Littler's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 1998 - Present
LOMBARD SECURITIES INCORPORATED
August 11, 1993 - December 31, 1997
FORTA FINANCIAL GROUP, INC.
September 10, 1991 - August 4, 1993
UBS FINANCIAL SERVICES INC.
July 19, 1991 - September 18, 1991
DICKINSON & CO.
August 13, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
February 13, 1990 - August 15, 1990
BOUCHER, OEHMKE & COMPANY
September 20, 1989 - March 30, 1990
ANDREW ALEN SECURITIES, INC.
December 19, 1984 - October 3, 1989
BLINDER, ROBINSON & CO., INC.
March 17, 1977 - November 15, 1981
MUTUAL OF OMAHA INVESTOR SERVICES, 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
(2/3/1998)
(2/2/1998)
(2/11/1998)
(2/3/1998)
(7/3/2006)
Exams
Series 1
Date: 3/10/1977
Registered Representative ExaminationFINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
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