David M. Ginter
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 Matthew Ginter was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2016 - February 3, 2020
FELTL & COMPANY
April 30, 1997 - July 28, 2016
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
June 11, 1990 - April 30, 1997
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
September 18, 1989 - June 12, 1990
HAYNE, MILLER FINANCIAL, INC.
January 3, 1987 - September 18, 1989
HAYNE, MILLER & SWEARINGEN, INC.
November 23, 1979 - January 13, 1987
PIPER SANDLER & CO.
July 20, 1977 - July 25, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
July 20, 1977 - July 25, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 1977 - July 25, 1979
IDS LIFE INSURANCE COMPANY
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 1
Date: 7/14/1977
Registered Representative ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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