David J. Wetterling
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 John Wetterling, who also goes by David J Wetterling, 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 65, Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2016 - January 9, 2017
VOYA FINANCIAL ADVISORS, INC.
January 10, 2013 - January 9, 2017
VOYA FINANCIAL ADVISORS, INC.
April 26, 2011 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
April 18, 2011 - April 25, 2011
ASKAR ADVISORS GROUP, INC.
May 10, 1984 - April 25, 2011
ASKAR CORP.
April 8, 1983 - February 6, 1984
HORACE MANN INVESTORS, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 2
Date: 8/13/1981
Non-Member General Securities ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
