David E. Willis
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 Earl Willis, who also goes by Dave Willis, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 4 firms and has passed the Series 7 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
June 20, 1989 - August 19, 1991
SECURITY INVESTMENT SERVICES, INC.
March 30, 1987 - October 5, 1988
INVESTORS CHOICE SECURITIES INC.
January 13, 1987 - April 13, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 1, 1983 - April 15, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 1, 1983 - January 15, 1987
EARL W. SHOMBER & CO., 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
SECURITY INVESTMENT SERVICES, INC.
CRD#: 23722 / SEC#: , 8-40765
Contact information
Documents
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.
