David L. Yost
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 Lynn Yost was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 13 firms and has passed the Series 65, 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
January 12, 2011 - December 31, 2011
SII INVESTMENTS, INC.
March 16, 2010 - December 31, 2010
PACKERLAND BROKERAGE SERVICES, INC.
November 9, 2006 - March 16, 2010
WORKMAN SECURITIES CORPORATION
February 12, 2002 - November 16, 2006
LPL FINANCIAL LLC
August 4, 2000 - February 12, 2002
EDWARD JONES
November 9, 1998 - August 8, 2000
COMMONWEALTH FINANCIAL NETWORK
April 24, 1998 - November 13, 1998
HORNOR, TOWNSEND & KENT, LLC
January 2, 1997 - April 24, 1998
THE ADVISORS GROUP, INC.
December 10, 1993 - January 9, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 10, 1993 - January 9, 1997
SIGNATOR INVESTORS, INC.
October 23, 1992 - December 16, 1993
ADVANTAGE CAPITAL CORPORATION
October 9, 1987 - October 28, 1992
AVANTAX INVESTMENT SERVICES, INC.
June 20, 1984 - November 2, 1987
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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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