David L. Oliveira
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 Luis Oliveira was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 22, 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
June 2, 2006 - September 30, 2014
IC ADVISORY SERVICES, INC.
August 26, 1992 - June 2, 2006
THE INVESTMENT CENTER, INC.
August 26, 1992 - September 30, 2014
THE INVESTMENT CENTER, INC.
June 6, 1991 - September 4, 1992
CLINGER & CO., INC.
December 1, 1989 - June 26, 1991
CIBC WORLD MARKETS CORP.
July 24, 1987 - December 19, 1989
MORGAN STANLEY DW INC.
March 1, 1985 - August 6, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 1984 - February 19, 1985
WADDELL & REED
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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
