David W. Emminger

INSTITUTIONAL BOND NETWORK

Thousand Oaks, CA 91360

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CRD#: 1431937

Professional summary

David Wayne Emminger, who also goes by Dave Emminger, is a registered financial professional currently at INSTITUTIONAL BOND NETWORK, LLC located in Thousand Oaks, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1985. David has 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

Are you a "fiduciary"?

Aliases

Dave Emminger

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Wayne Emminger's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 8, 2016 - Present

INSTITUTIONAL BOND NETWORK, LLC

Office #1: 463 Pennsfield Pl Suite 201, Thousand Oaks, CA 91360

CRD#: 187515

Thousand Oaks, CA

Past

October 30, 2017 - November 21, 2024

IBN ASSET MANAGEMENT, LLC

RIA

CRD#: 290114

THOUSAND OAKS, CA

Past

February 3, 2014 - December 31, 2015

EK RILEY INVESTMENTS, LLC

RIA

CRD#: 121003

THOUSAND OAKS, CA

Past

January 31, 2014 - December 31, 2015

EK RILEY INVESTMENTS, LLC

CRD#: 121003

THOUSAND OAKS, CA

Past

April 7, 2009 - February 26, 2014

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

THOUSAND OAKS, CA

Past

April 6, 2009 - February 26, 2014

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

THOUSAND OAKS, CA

Past

June 18, 2007 - April 20, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

MALIBU, CA

Past

September 17, 2004 - June 21, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

MALIBU, CA

Past

May 8, 2002 - September 30, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

OXNARD, CA

Past

August 23, 2000 - September 30, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

November 19, 1993 - August 31, 2000

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

Past

July 19, 1993 - October 28, 1993

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

November 22, 1985 - August 8, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/11/2016)

North Carolina
(1/14/2016)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/22/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 9/6/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 7/17/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/21/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INSTITUTIONAL BOND NETWORK, LLC

ARBITRAGE MANAGEMENT GROUP | INSTITUTIONAL BOND NETWORK, LLC

CRD#: 187515 / SEC#: , 8-69609

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

463 Pennsfield Place, Suite 201, Thousand Oaks, CA 91360

Mailing Address

463 Pennsfield Place, Suite 201, Thousand Oaks, CA 91360

Phone number

(805) 402-2541

Established

Delaware since 01/27/2025

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HAGGE, ERIK NICHOLAS	SENIOR PARTNER, MUNI PRINCIPAL	3244703
DICKINSON, MARTIN JOHN	OWNER	1352810
NATALE, CHRISTOPHER JOHN	MANAGING MEMBER & PROPRIETARY TRADER	4870483
SWEENEY, PATRICK WILLIAM	OWNER	1350182
ACTON STROIA FAMILY TRUST	TRUST
ACTON, BRIAN LEONARD	TRUSTEE FOR ACTION STROIA FAMILY TRUST	8167174
CLARK, CATHERINE MARIAN	CHIEF COMPLIANCE OFFICER	4384961
GILMAN, ROBERT CRAIG	FINOP/CFO/PFO/POO	1738412
KNIPPA, GARY LOUIS	INVESTOR	8167504
MATHENY, GREGORY SCOTT	INVESTOR	8167208
NGUYEN, HOAN-VU TRAN	INVESTOR	8163339
O'MARA, CHRISTOPHER ROY	PROPRIETARY TRADER	1657262
RUFFIER, WILLIAM EUGENE	INVESTOR	8167148
STROIA, SHARON MARIE	TRUSTEE FOR ACTION STROIA FAMILY TRUST	8168236

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David W. Emminger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Wayne Emminger's CRS (Customer Relationship Summary).

Certified licenses

Experience

IBN ASSET MANAGEMENT, LLC

EK RILEY INVESTMENTS, LLC

EK RILEY INVESTMENTS, LLC

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

INVEST FINANCIAL CORPORATION

SECURITIES AMERICA, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MARION BASS SECURITIES CORPORATION

CITICORP INVESTMENT SERVICES

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2000

Series 63

Date: 7/27/1993

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 9/6/2017

Series 7

Date: 7/17/1993

Series 6

Date: 11/21/1985

Series 24

Date: 12/18/1998

FINRA

Current Firm

INSTITUTIONAL BOND NETWORK, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INSTITUTIONAL BOND NETWORK, LLC

TRUST BUT VERIFY

Contact information

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