David D. Hettinger
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 Dee Hettinger was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 13 firms and has passed the Series 63, SIE 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
August 16, 2017 - December 11, 2017
COOPER MALONE MCCLAIN, INC.
July 20, 2012 - July 20, 2015
MUTUAL SECURITIES, INC.
June 28, 2007 - July 20, 2012
WEDBUSH SECURITIES INC.
June 24, 2004 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
September 8, 1999 - June 24, 2004
COMMONWEALTH FINANCIAL NETWORK
April 13, 1995 - June 1, 1999
MORGAN STANLEY DW INC.
September 15, 1993 - April 4, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 1992 - June 23, 1993
CITIGROUP GLOBAL MARKETS INC.
April 7, 1992 - July 24, 1992
BARRINGTON TRADING COMPANY
June 16, 1989 - May 28, 1991
LEHMAN BROTHERS INC.
March 21, 1986 - May 1, 1989
UBS FINANCIAL SERVICES INC.
September 2, 1983 - March 17, 1986
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1979 - January 26, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 27, 1978 - June 11, 1979
BLYTH EASTMAN DILLON & CO. 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
COOPER MALONE MCCLAIN, INC.
CRD#: 18637 / SEC#: , 8-36959
Contact information
Disclosures
| Regulatory Event | 3 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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