David Allen Naefke
Professional Summary
David Allen Naefke, who also goes by David A Naefke, was a registered financial advisor. David was a previously registered financial advisor and started their career in finance 1985 - 2010. David had worked at 15 firms and has passed the Series 66, Series 63, Series 7, Series 3, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David A Naefke
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
AXIS SECURITIES & EXCHANGE, LLC | TIG CAPITAL SECURITIES CO. | NELSONREID, INC. | INTERFINANCIAL PARTNERS, INC. | AXIS SECURITIES AND EXCHANGE, LLC
Contact Information
Established
Texas since 12/12/1997Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Apr 1986About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1985About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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