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David Fredd Sterling

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Information

Firm:
Type: Registered Representative
Description

David Sterling is a financial professional at The Leaders Group, Inc., a broker-dealer with 652 registered representatives nationwide. David has held an industry securities registration for 15 years and is subject to FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
The Leaders Group Inc 5 months Apr 2015 - Present
Valmark Securities, Inc. 1 month, 4 weeks Jan 2014 - Mar 2014
J.W. Cole Financial, Inc. 9 months Mar 2013 - Dec 2013
The Leaders Group Inc 3 years, 6 months Sep 2009 - Mar 2013
Qa3 Financial Corp 1 month Sep 2007 - Oct 2007
Sterling Capital 9 years, 4 months May 2006 - Present
Comerica Securities 1 year, 5 months Nov 2004 - Apr 2006
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 07/15/1996
Uniform Securities Agent State Law ExaminationSeries 63 06/26/1996
General Securities Representative ExaminationSeries 7 05/07/1996

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

No client types listed.

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
04/27/2015
07/12/2015
*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.

Firm Compensation Arrangements

No compensation arrangements listed.