David Christopher Walkup

Current Employers

Employment History

• 10/2013 → Present
  Sagepoint Financial, Inc.
  The Woodlands, TX
• 04/2016 → Present
  Harman Asset Management, Llc
  The Woodlands, TX
• 09/2023 → Present
  Osaic Wealth, Inc.
  The Woodlands, TX

Previous Registrations

• 2019-06-12 → 2024-04-29
  Harman Asset Management, Llc
  The Woodlands, TX
• 2019-03-08 → 2023-09-01
  Osaic Services, Inc.
  The Woodlands, TX
• 2013-01-11 → 2013-07-17
  Greystone Financial Group, Inc.
  Houston, TX
• 1994-08-11 → 2013-01-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX

Other Businesses

1) HARMAN WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 04/04/2016 ADDRESS: 1725 Hughes Landing BLVD, Suite 1250, The Woodlands TX 77380, United States DESCRIPTION: Recommend insurance products that are appropriate for clients. 2) HARMAN WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/04/2016 ADDRESS: 1725 Hughes Landing BLVD, Ste. 1250, The Woodlands TX 77380, United States DESCRIPTION: Employee of advisor practice 3)HARMAN ASSET MANAGEMENT POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 12 START DATE: 01/01/2020 ADDRESS: 1725 Hughes Landing Blvd, Suite 1250, The Woodlands TX 77380, United States DESCRIPTION: Receive referrals from the solicitor and attempt to convert to a client. 4) GARY GLEN HOA POSITION: Vice President NATURE: Homeowners association. I am on the board. It's a non-paying, volunteer position. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 2 Clubview Court, The Woodlands TX 77382, United States DESCRIPTION: Enforce by-laws, make sure bills are paid, communicate with the management company we hired to help us run the HOA.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-03-05
• S63 Uniform Securities Agent State Law Examination
  1994-08-09