David R. Loeser
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.
David Richard Loeser, who also goes by Dave Loeser, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1981. David had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 1998 - June 28, 2011
LOESER D R & CO INC
November 17, 1988 - December 31, 1991
PEEK EQUITY SERVICES, INC.
February 25, 1986 - May 20, 1987
COMMONWEALTH FINANCIAL NETWORK
June 25, 1984 - February 24, 1986
BROAD REACH CAPITAL, INC.
July 13, 1983 - June 9, 1984
MBA EQUITY INVESTMENT CORPORATION
November 26, 1981 - April 16, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
No current employment
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.
