David C. Tengdin
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 Charles Tengdin 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 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 1999 - February 14, 2023
ALLISON-WILLIAMS COMPANY
June 18, 1987 - September 21, 1998
MJK CLEARING, INC.
October 1, 1985 - January 1, 1987
SECURITIES RESOLUTION CORPORATION
December 22, 1983 - August 30, 1985
ALLISON-WILLIAMS COMPANY
March 1, 1983 - October 11, 1983
LM CONSOLIDATED FINANCIAL CORP.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ALLISON-WILLIAMS COMPANY
CRD#: 29 / SEC#: , 8-3223
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B&T CAPITAL INC | HOLDING COMPANY | |
| LARSON, GREGORY ALAN | CHAIRMAN, CEO, CCO | 2097773 |
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.
