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David Whittemore

THE Leaders Group, Inc.

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About David Whittemore

David Whittemore is a financial professional with over 13 years of experience in the industry. David is currently registered with The Leaders Group, Inc. Prior to joining The Leaders Group, Inc., David was employed by Coastal Equities, Inc. in Houston, Texas and Stephen A. Kohn & Associates, LTD. in Lakewood, Colorado. David is a Series 7, 24, 3, 31 and 66 licensed professional. David is licensed in Texas, California, Delaware and Florida.

Firm Information

David Whittemore is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Whittemore’s Registration & Firm History

CO

02/15/2023 - Present

THE Leaders Group, Inc. (LITTLETON CO)

TX

11/17/2021 - 02/21/2023

COASTAL EQUITIES, INC. (HOUSTON TX)

CO

09/21/2021 - 11/19/2021

THE LEADERS GROUP, INC. (LITTLETON CO)

CO

06/11/2019 - 09/18/2019

STEPHEN A. KOHN & ASSOCIATES, LTD. (LAKEWOOD CO)

TX

05/10/2012 - 06/13/2017

AXIOM CAPITAL MANAGEMENT, INC. (HOUSTON TX)

TX

02/01/2011 - 07/15/2011

DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)

TX

05/07/2009 - 02/02/2011

SUPERFUND USA, INC. (HOUSTON TX)

TX

09/27/2004 - 03/26/2009

STANFORD GROUP COMPANY (HOUSTON TX)

CA

11/12/2002 - 12/13/2002

INVESTMENT PLACEMENT GROUP (SAN DIEGO CA)

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Licenses & Designations

BOTH

Issued 01/05/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/08/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 06/13/2017

SIE - Securities Industry Essentials Examination

BC

Issued 09/10/2010

Series 3 - National Commodity Futures Examination

BC

Issued 01/02/2008

Series 31 - Futures Managed Funds Examination

BC

Issued 11/11/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for David Whittemore. Review regulatory record here.
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