David A. Naefke
Professional summary
David Allen Naefke was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, David had worked at 15 firms, which includes NELSONREID INC., UNITED EQUITY SECURITIES LLC, AMERICAN BEACON PARTNERS INC., NEXT FINANCIAL GROUP INC., CETERA ADVISORS LLC, SUMMIT BROKERAGE SERVICES INC., GREAT NORTHERN FINANCIAL SECURITIES INC., FIRST MONTAUK SECURITIES CORP., METROPOLITAN INVESTMENT SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, GUARDIAN INVESTOR SERVICES LLC, ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2010 - December 10, 2010
NELSONREID, INC.
July 22, 2010 - August 12, 2010
UNITED EQUITY SECURITIES, LLC
March 1, 2010 - July 20, 2010
AMERICAN BEACON PARTNERS, INC.
January 23, 2009 - March 16, 2009
NEXT FINANCIAL GROUP, INC.
January 23, 2009 - March 16, 2009
NEXT FINANCIAL GROUP, INC.
November 18, 2005 - January 28, 2009
CETERA ADVISORS LLC
November 18, 2005 - January 28, 2009
CETERA ADVISORS LLC
May 31, 2005 - November 18, 2005
SUMMIT BROKERAGE SERVICES, INC.
June 19, 2002 - May 24, 2005
GREAT NORTHERN FINANCIAL SECURITIES, INC.
July 6, 2001 - July 16, 2002
FIRST MONTAUK SECURITIES CORP.
June 15, 2001 - June 25, 2001
METROPOLITAN INVESTMENT SECURITIES, INC.
November 18, 1996 - May 20, 1997
IDS LIFE INSURANCE COMPANY
November 18, 1996 - May 20, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 1991 - July 14, 1995
GUARDIAN INVESTOR SERVICES LLC
March 7, 1986 - December 30, 1990
ROBERT W. BAIRD & CO. INCORPORATED
February 19, 1986 - January 31, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 24, 1985 - July 9, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NELSONREID, INC.
CRD#: 45503 / SEC#: , 8-51060
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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