David D. Larson
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 Duane Larson, who also goes by Dave Larson, David D Larson, 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 66, Series 63, SIE, Series 7, Series 6, Series 22, Series 8 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
February 11, 2015 - October 18, 2017
WATER OAK ADVISORS, LLC
February 24, 2012 - January 26, 2015
SCHWAB WEALTH ADVISORY, INC.
January 26, 2012 - March 27, 2012
CHARLES SCHWAB & CO., INC.
July 13, 2010 - December 31, 2011
CHARLES SCHWAB & CO., INC.
July 5, 2010 - January 26, 2015
CHARLES SCHWAB & CO., INC.
September 9, 1994 - May 5, 2009
STRATEGIC ADVISERS LLC
November 12, 1991 - May 5, 2009
FIDELITY BROKERAGE SERVICES LLC
April 21, 1988 - July 19, 1991
FIRSTAR INVESTMENT SERVICES,INC.
July 16, 1986 - November 16, 1987
INVEST FINANCIAL CORPORATION
August 22, 1983 - April 7, 1986
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 8
Date: 2/4/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WATER OAK ADVISORS, LLC
CRD#: 140486 / SEC#: 801-66872
Contact information
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.
