David A. Behrens
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 Alan Behrens was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2012 - April 4, 2023
ANICO FINANCIAL SERVICES, INC.
December 10, 1999 - September 4, 2012
SECURITIES MANAGEMENT & RESEARCH, INC.
December 9, 1993 - February 18, 1999
AFD, INC.
March 14, 1991 - November 23, 1993
AMERITAS INVESTMENT COMPANY, LLC
January 12, 1990 - January 14, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 12, 1990 - January 14, 1991
SIGNATOR INVESTORS, INC.
July 28, 1989 - November 28, 1989
ACCUTRADE INC.
November 4, 1988 - August 5, 1989
TOUCHSTONE SECURITIES, INC.
January 19, 1983 - January 14, 1991
SIGNATOR INVESTORS, 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
ANICO FINANCIAL SERVICES, INC.
CRD#: 158883 / SEC#: , 8-68938
Contact information
FINRA licenses (18 States and Territories)
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.
