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Detailed Report
DAVID ALBERT TUFTS JR
CRD#: 450232
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19982000200220042006200820102012201420162018IAOPPENHEIMER & CO. INC. (CRD# 249)2004 - 2015 (11 years)IAOPPENHEIMER ASSET MANAGEMENT (CRD# 105559)2003 - 2007 (4 years)IAFAHNESTOCK ASSET MANAGEMENT (CRD# 249)2003 - 2003 (<1 year)IACIBC WORLD MARKETS CORP. (CRD# 630)1997 - 2003 (5 years)
Disclosure(s)
View By:
4/6/2017
Regulatory
Final
8/24/2016
Customer Dispute
Settled
4/29/2010
Customer Dispute
Denied
4/29/2010
Customer Dispute
Denied
Previous Registration(s)
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 11/10/2004 - 11/17/2015 OPPENHEIMER & CO. INC. (CRD#:249) NEW YORK, NY
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 04/23/2003 - 11/01/2007 OPPENHEIMER ASSET MANAGEMENT (CRD#:105559) NEW YORK, NY
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 01/03/2003 - 04/15/2003 FAHNESTOCK ASSET MANAGEMENT (CRD#:249) NEW YORK, NY
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 04/17/1997 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.