David R. Vonasek
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 Robert Vonasek was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 7 firms and has passed the Series 63, SIE, 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
November 8, 2011 - November 2, 2018
KMS FINANCIAL SERVICES, INC.
November 7, 2011 - November 2, 2018
KMS FINANCIAL SERVICES, INC.
January 12, 2009 - November 8, 2011
FOOTHILL SECURITIES, INC.
November 17, 2000 - November 8, 2011
FOOTHILL SECURITIES, INC.
November 11, 1997 - November 24, 2000
FIRST ALLIED SECURITIES, INC.
August 4, 1995 - November 14, 1997
FIRST ASSOCIATED SECURITIES GROUP, INC.
December 15, 1994 - August 11, 1995
FIRST ALLIED SECURITIES, INC.
November 7, 1990 - August 29, 1995
FIRST AFFILIATED SECURITIES
June 18, 1986 - October 19, 1990
PENSION PLANNERS SECURITIES, INC.
October 23, 1985 - June 30, 1986
M.L. STERN & CO., LLC.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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.
