David W. Emminger
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 Wayne Emminger, who also goes by Dave Emminger, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 50, Series 7, Series 6 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
October 30, 2017 - November 21, 2024
IBN ASSET MANAGEMENT, LLC
January 8, 2016 - April 17, 2026
INSTITUTIONAL BOND NETWORK, LLC
February 3, 2014 - December 31, 2015
EK RILEY INVESTMENTS, LLC
January 31, 2014 - December 31, 2015
EK RILEY INVESTMENTS, LLC
April 7, 2009 - February 26, 2014
MOMENTUM INDEPENDENT NETWORK INC.
April 6, 2009 - February 26, 2014
MOMENTUM INDEPENDENT NETWORK INC.
June 18, 2007 - April 20, 2009
INVEST FINANCIAL CORPORATION
September 17, 2004 - June 21, 2007
SECURITIES AMERICA, INC.
May 8, 2002 - September 30, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 23, 2000 - September 30, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 19, 1993 - August 31, 2000
MARION BASS SECURITIES CORPORATION
July 19, 1993 - October 28, 1993
CITICORP INVESTMENT SERVICES
November 22, 1985 - August 8, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
IBN ASSET MANAGEMENT, LLC
CRD#: 290114 / SEC#: 801-118749
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
IBN ASSET MANAGEMENT, LLC
CRD#: 290114 / SEC#: 801-118749
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 63 |
| AUM (Assets Under Management) | $ 485,424,509 |
Red Flags
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