C. D. Weller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
C. David Weller, who also goes by C David Weller, David Weller, was a registered financial advisor .
C. is a previously registered financial advisor and started their career in finance in 1981. C. had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2005 - May 11, 2005
INVESTMENT ADVISORS & CONSULTANTS, INC.
August 26, 2003 - November 12, 2003
INVESTMENT ADVISORS & CONSULTANTS, INC.
June 20, 2002 - July 28, 2003
EASTERN POINT ADVISORS INC.
September 22, 1999 - July 28, 2003
INVESTORS CAPITAL CORP.
September 28, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 28, 1995 - September 14, 1998
SIGNATOR INVESTORS, INC.
March 17, 1992 - August 15, 1995
MONY SECURITIES CORPORATION
December 1, 1989 - August 16, 1991
COMMONWEALTH FINANCIAL NETWORK
October 10, 1988 - December 20, 1989
FINANCIAL SECURITIES NETWORK,INC.
August 31, 1981 - October 5, 1988
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTMENT ADVISORS & CONSULTANTS, INC.
CRD#: 7996 / SEC#: , 8-23962
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
