Trevor D. Ling
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.
Trevor Derek Ling was a registered financial advisor .
Trevor is a previously registered financial advisor and started their career in finance in 1983. Trevor had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2009 - July 28, 2009
IMS SECURITIES, INC.
March 4, 2004 - March 25, 2009
STANFORD GROUP COMPANY
March 4, 2004 - March 25, 2009
STANFORD GROUP COMPANY
September 4, 1990 - March 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 4, 1990 - March 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
January 20, 1988 - September 1, 1988
BOETTCHER & COMPANY, INC.
April 21, 1986 - February 16, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 1, 1983 - May 5, 1986
E. F. HUTTON & COMPANY 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
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
