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David Michael Boon

Oppenheimer & Co. Inc.

Chicago, IL

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2009-05-01
TX RA APPROVED 2009-05-01
  • IL RA
    APPROVED
    Since 2009-05-01
  • TX RA
    APPROVED
    Since 2009-05-01

Branch Locations

500 West Madison Suite 3800, Chicago, IL 60661 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Chicago IL 05/2009 Present
Previous Registrations
Other Businesses

1.I AM TRUSTEE OF THE DAVID M. BOON DECLARATION OF TRUST U/A DTD 3/30/2006. TIME SPENT WILL BE APPROX. TEN MINUTES PER MONTH REVIEWING ACCOUNT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-23
S65 Uniform Investment Adviser Law Examination 1995-02-03
S63 Uniform Securities Agent State Law Examination 1994-09-10
  • S66 Uniform Combined State Law Examination
    2003-05-23
  • S65 Uniform Investment Adviser Law Examination
    1995-02-03
  • S63 Uniform Securities Agent State Law Examination
    1994-09-10

View on SEC IAPD

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PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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