David K. Broeker
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 Keith Broeker was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 6 firms and has passed the Series 63, 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
October 20, 2010 - January 6, 2014
HOMESTEAD FINANCIAL SERVICES CORP.
December 22, 1997 - November 3, 2008
HOMESTEAD FINANCIAL SERVICES CORP.
November 25, 1996 - February 14, 1998
MUTUAL OF AMERICA SECURITIES LLC
September 16, 1994 - February 14, 1998
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 22, 1988 - February 8, 1994
F & G SECURITIES, INC.
July 14, 1983 - October 29, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 14, 1983 - October 29, 1984
EQUITABLE ADVISORS, LLC
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
HOMESTEAD FINANCIAL SERVICES CORP.
CRD#: 26643 / SEC#: , 8-42682
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NRECA UNITED HOLDINGS, INC. | HOLDING COMPANY OF NRECA SUBSIDIARIES | |
| CIVEROLO, BETH ANNE | VICE PRESIDENT AND DIRECTOR | 2643410 |
| DI MAURO, AMY MERRILL | TREASURER, DIRECTOR, FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF AND PRINCIPAL FINANCIAL OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 4731228 |
| OLLIVIERRE, MONICA LYNN | SECRETARY | 4036059 |
| SIEVERLING, DANIELLE CHERIE | CHIEF COMPLIANCE OFFICER | 4918493 |
| WEBSTER, JENNIFER LAUREL | PRESIDENT AND DIRECTOR | 1438190 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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