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Type: Registered Representative

David Sterling is a financial professional at J.W. Cole Financial, Inc., a broker-dealer with 371 registered representatives nationwide. David has held an industry securities registration for 13 years and is subject to FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

David Fredd Sterling has not answered any questions on Financial Q&A.

Top Guides

David Fredd Sterling has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

No client types listed.

Experience and Employment History

Employer Years Dates
J.W. Cole Financial, Inc. 1 year, 1 month Mar 2013 - Present
Capitas Financial/Pinnacle 4 years, 7 months Sep 2009 - Present
The Leaders Group, Inc. 3 years, 6 months Sep 2009 - Mar 2013
Qa3 Financial Corp. 1 month Sep 2007 - Oct 2007
Sterling Capital 7 years, 12 months May 2006 - Present
Comerica Securities 1 year, 5 months Nov 2004 - Apr 2006
Capital Analysts Inc 4 months Apr 2004 - Aug 2004
Nbc Securities, Inc. 8 months Aug 2003 - Apr 2004
Wachovia Securities, LLC 1 month Jul 2003 - Aug 2003
Wachovia Securities,LLC 1 month Jul 2003 - Aug 2003
Prudential Securities Incorporated 4 years, 11 months Aug 1998 - Jul 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 03/26/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status
Not registered

1 Financial Disclosure

1 Financial Disclosure

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 07/15/1996
Uniform Securities Agent State Law Examination Series 63 06/26/1996
General Securities Representative Examination Series 7 05/07/1996

Firm Compensation Arrangements

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No compensation arrangements listed.