David R. Koos
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 Raymond Koos, who also goes by David R Koos, 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 31, Series 3, 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 26, 2004 - February 6, 2008
AMERIVET SECURITIES, INC.
March 27, 2002 - May 29, 2002
AMERIVET SECURITIES, INC.
December 12, 2000 - December 20, 2001
AMERIVET SECURITIES, INC.
July 10, 1998 - January 19, 1999
E*OFFERING
August 20, 1996 - July 2, 1998
WELLS FARGO CLEARING SERVICES, LLC
February 8, 1994 - August 15, 1996
MORGAN STANLEY DW INC.
May 9, 1988 - February 23, 1994
SUTRO & CO. INCORPORATED
March 23, 1987 - May 9, 1988
CITIGROUP GLOBAL MARKETS INC.
July 26, 1984 - November 1, 1985
LEHMAN BROTHERS 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
AMERIVET SECURITIES, INC.
CRD#: 34786 / SEC#: , 8-46478
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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