David M. Elliott
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 Miller Elliott was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 9 firms and has passed the Series 63, Series 7, Series 6 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
October 6, 2006 - March 25, 2014
GUARDIAN INVESTOR SERVICES LLC
January 2, 2001 - October 6, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
January 8, 1999 - January 2, 2001
PROVIDENT DISTRIBUTORS, INC.
October 1, 1998 - December 31, 1998
BANC OF AMERICA SECURITIES LLC
October 1, 1997 - October 1, 1998
BANCAMERICA SECURITIES, INC.
September 26, 1995 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
September 20, 1994 - August 18, 1995
CHARLES SCHWAB & CO., INC.
December 15, 1988 - July 21, 1994
FIDELITY DISTRIBUTORS COMPANY LLC
October 14, 1983 - December 13, 1988
FIDELITY DISTRIBUTORS CORPORATION
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
GUARDIAN INVESTOR SERVICES LLC
CRD#: 6635 / SEC#: 801-9654, 8-14108
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BESSEL, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER, ADVISER | 2963742 |
| CEFOLE, MICHAEL B | PRESIDENT & LLC MANAGER | 2720073 |
| FERIK, MICHAEL NICHOLAS | LLC MANAGER | 4994941 |
| POTTER, RICHARD THOMAS JR | SR. VICE PRESIDENT & COUNSEL | 1469205 |
| SENKER, LINDA ELLEN | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 1980001 |
| SHALLOW, KURT JOSEPH | V.P., RISK PRODUCTS DISTRIBUTION | 1650106 |
| SORELL, THOMAS GEORGE | CHIEF INVESTMENT OFFICER | 1020936 |
| SULLIVAN, DONALD PAUL JR | LLC MANAGER | 1022281 |
| WALTER, JOHN H. | SR. VP & CONTROLLER | 2358945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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