David G. Mertz
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 George Mertz 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 63, Series 7 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
November 5, 2003 - October 3, 2019
INDEX FUND ADVISORS, INC.
March 30, 1994 - March 29, 1996
ROBERT W. BAIRD & CO. INCORPORATED
July 13, 1990 - May 13, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 14, 1987 - May 15, 1989
STOFFLER CROWLEY SECURITIES
May 15, 1987 - August 12, 1988
CENTRAL SECURITIES, INC.
May 5, 1986 - April 11, 1987
CROWELL, WEEDON & CO.
November 12, 1985 - March 11, 1986
ROBERT BRANDT & CO.
August 24, 1983 - May 29, 1985
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
INDEX FUND ADVISORS, INC.
CRD#: 109143 / SEC#: 801-57978
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
INDEX FUND ADVISORS, INC.
CRD#: 109143 / SEC#: 801-57978
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,146 |
| AUM (Assets Under Management) | $ 5,329,171,931 |
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.
