David M. Knezevich
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 Millard Knezevich was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 3 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, 2009 - November 11, 2016
U.S. BROKERAGE, INC.
September 6, 2007 - December 31, 2008
INTEROCEAN SECURITIES LLC
January 31, 1995 - August 17, 2007
LASALLE ST SECURITIES, L.L.C.
December 16, 1994 - January 3, 1995
FIRST ALLIED SECURITIES, INC.
January 21, 1993 - August 29, 1995
FIRST AFFILIATED SECURITIES
January 8, 1992 - January 27, 1992
AMERIPRISE ADVISOR SERVICES, INC.
June 30, 1987 - January 2, 1992
MORGAN STANLEY DW INC.
May 30, 1986 - June 29, 1987
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1985 - June 2, 1986
BLUNT ELLIS & LOEWI INCORPORATED
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
U.S. BROKERAGE, INC.
CRD#: 39307 / SEC#: , 8-48635
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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