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David Maitland Kingsley

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Description

This advisor is no longer actively registered and has no available registration history.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

David Maitland Kingsley has not answered any questions on Financial Q&A.

Top Guides

David Maitland Kingsley has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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No client types listed.

Experience and Employment History

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Employer Years Dates
U.S. Bancorp Investments, Inc. 3 years, 3 months Feb 2010 - Present
Chase Investment Services, Corp. 10 months Apr 2009 - Feb 2010
Unionbanc Investment Services 8 months Aug 2008 - Apr 2009
Transamerica Capital Inc 4 years, 4 months Apr 2004 - Aug 2008
Intersecurities Inc. 2 years, 11 months May 2001 - Apr 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/18/2011, 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

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Regulator
SEC
FINRA
License Status
Not registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
08/18/2011
08/04/2012
*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

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Exam Series Passed Date
General Securities Representative Examination Series 7 07/08/1993
Uniform Securities Agent State Law Examination Series 63 07/19/1989
Investment Company Products/Variable Contracts Representative Examination Series 6 10/14/1987

Firm Compensation Arrangements

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No compensation arrangements listed.