David R. Simmer
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 Robert Simmer, who also goes by David R Simmer, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 5 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
April 14, 1994 - November 8, 2011
GW & WADE, LLC
April 14, 1993 - November 14, 2012
GW & WADE ASSET MANAGEMENT COMPANY, LLC
August 28, 1992 - March 29, 1993
LPL FINANCIAL LLC
March 2, 1989 - August 6, 1992
IFMG SECURITIES, INC.
October 26, 1984 - February 8, 1989
SIGNATOR INVESTORS, INC.
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
GW & WADE, LLC
CRD#: 105394 / SEC#: 801-27292
Contact information
Regulatory assets under management
| Total Number of Accounts | 11,861 |
| AUM (Assets Under Management) | $ 8,902,726,024 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/09/2023 | ||
| 01/25/2023 |
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.
