David W. Tolpingrud
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 Wayne Tolpingrud was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 62, Series 22, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2006 - June 11, 2015
AST INVESTMENT SERVICES, INC.
February 26, 2003 - March 24, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
February 3, 1999 - June 11, 2015
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
May 26, 1993 - January 6, 1999
AMERITAS INVESTMENT COMPANY, LLC
April 26, 1989 - May 11, 1992
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 20, 1988 - May 11, 1992
FRANKLIN REAL ESTATE DISTRIBUTORS, INC.
February 25, 1986 - April 30, 1987
SHELL EQUITIES CORPORATION
February 21, 1986 - November 15, 1988
COINBASE CAPITAL MARKETS CORP
January 27, 1986 - August 25, 1987
PROPERTY COMPANY OF AMERICA SECURITIES CORP.
January 18, 1984 - February 7, 1986
C.K. COOPER & COMPANY, INC.
Primary Firm SEC Registration
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
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 62
Date: 5/25/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 93,541,799,206 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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