David E. Faulkner
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 Evan Faulkner was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2015 - August 4, 2020
FINANCIAL MANAGEMENT, INC.
June 1, 2009 - February 13, 2015
MORGAN STANLEY
June 1, 2009 - February 13, 2015
MORGAN STANLEY
October 7, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 19, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 4, 1993 - April 1, 2005
EQUITY CAPITAL CORPORATION
February 24, 1986 - January 7, 1987
UMIC, INC.
April 25, 1984 - January 30, 1986
BRITTENUM & ASSOCIATES, INC.
September 26, 1983 - May 14, 1984
MADISON INVESTMENT COMPANY
March 28, 1983 - September 20, 1983
DANNY THOMAS INVESTMENTS, INC.
May 26, 1982 - March 21, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 1979 - January 22, 1982
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
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: 3/23/1979
Registered Representative ExaminationCurrent Firm
FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 181,181,011 |
Red Flags
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